According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...
Company Profile - ZIGA INNOVATION PUBLIC COMPANY LIMITED สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:18 Company Profile ZIGA INNOVATION PUBLIC COMPANY
LAND AND HOUSES FUND MANAGEMENT COMPANY LIMITED| | Offering Date : 19/01/2021 - 27/01/2021
SCB ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Sector Fund,Super Savings Fund : SSF | Offering Date : 22/06/2021 - 28/06/2021
SCB ASSET MANAGEMENT COMPANY LIMITED| ,Super Savings Fund : SSF | Offering Date : 13/08/2021 - 19/08/2021
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading execution program. She also transferred her own money into the client’s trading account as a collater...
Publication Document - ZIGA INNOVATION PUBLIC COMPANY LIMITED : ZIGA สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2022 22:37 Publication Document Please enter search
Publication Document - ZIGA INNOVATION PUBLIC COMPANY LIMITED : ZIGA สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 28 August 2022 21:56 Publication Document Please enter search
Publication Document - ZIGA INNOVATION PUBLIC COMPANY LIMITED : ZIGA สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2022 18:59 Publication Document Please enter search