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...

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...

being informed of the correct information. For those who have already subscribed shares, if intend to cancel the subscription, can contact the securities firms accepting their subscription forms by

regulation would prohibit digital asset business operators from:   (1) Accepting deposits of digital assets from the customers and lending, investing, staking or employing such digital assets; (2) Accepting

for not less than three years and must not appoint any sub-selling agents;2.2 The selling agent can only perform the functions of (1) accepting account opening applications, (2) giving clients

disposal of ordinary shares 01/03/2021 18:21 The progress of accepting repayment of loan and increasing of investment in All S Holding Co., Ltd. 05/01/2021 17:21 Connected transaction 17/08/2020 08:34 The

account of the referred client; 3. Accepting her clients? assignments to make trading orders on their behalf. Sugunya?s aforesaid misconducts were dishonest and unprofessional in violation of Clause

companies transparently or check thoroughly the fund?s assets before accepting them from the leaser. They also failed to provide evidence or contracts that would have proved the appropriateness of the

confirmed the clients' trading orders via telephone, as she understood that these could have been evidence of the clients' trading orders. However, {A} failed to record her accepting of security trading

Facebook account was a BX channel for accepting fund or digital asset transfers. SEC is therefore urging BX clients to exercise utmost discretion if approached by such deceitful websites or Facebook