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...
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities
Selling of Securities in Foreign Country by Securities Company Without Having Possession
=electronic possession OR "electronic possession" OR "electrical ownership" OR "electrical control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype
/secweb/select?q=electronic property OR "electronic property" OR "electrical asset" OR "electrical possession" OR "digital asset" OR "digital possession"&wt=json&indent=true&facet=true&facet.field
>> เอกสาร Adobe PDF ( 439 ) Microsoft Word ( 80 ) aspx ( 18 ) Microsoft Excel ( 6 ) Microsoft Word X ( 3 ) ดูเพิ่มเติม >> http://172.19.1.196:8983/solr/secweb/select?q=electronic possession OR "electronic
) Microsoft Word ( 80 ) aspx ( 18 ) Microsoft Excel ( 6 ) Microsoft Word X ( 3 ) More >> http://172.19.1.196:8983/solr/secweb/select?q=electronic possession OR "electronic possession" OR "electrical ownership
) Microsoft Word X ( 1 ) More >> http://172.19.1.196:8983/solr/secweb/select?q=electrical ownership OR "electrical ownership" OR "electric ownership" OR "electric possession" OR "electronic ownership" OR