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...
firm evaluate the knowledge and expertise of engagement team required to perform an engagement prior to accepting an engagement? If no, describe how the firm determines that it can complete the
statements. Samples of matters beyond the SEC responsibility ● Matters under supervision of other laws, for instance, Ponzi scheme, poor services or poor product quality, advertising blockage on sidewalks
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
franchise of 55 branches and closed some poor performance branches. Therefore there are currently 19 branches owned by the company causing lower significant revenues than the same period at the previous year
information or advice by insurance broker ● Unable to claim insurance compensation Office of the Insurance Commission (OIC) Telephone: 1186 Website: www.oic.or.th ● Poor consumer product quality Office of
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
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
related to trading, depositing and withdrawing digital assets. Meanwhile, the company may consider accepting new clients as deemed appropriate and sufficient by taking into account the characteristics, size