reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's

Bangkok, May 18, 2016 ? The SEC has filed a criminal complaint with the Department of Special Investigation (DSI) against four manipulators of the price and trading volume of The Union Mosaic

Settlement Services with respect to Derivatives __________________ Clause 38 To ensure that the overall business operation of derivatives clearing houses is supervised in an orderly, effective, and timely

addition to the allegation in June 2018, the SEC’s further investigation revealed that in 2017 seven directors and key executives of EARTH, namely, (1) Mr. Phisudhi Phihakendr; (2) Mr. Khajohnpong Khamdee

trust)—may be managed by entities other than asset management companies (CIS operators). These entities are, however, supervised by foreign securities regulators that are ordinary members of IOSCO

supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace

Based on a referral and the SEC’s further investigation, it was found that on 15 October 2021 OKX provided services for a digital asset trading system, facilitating the trading and exchange of

further investigation revealed facts and evidence supporting the belief that a group of 32 persons acted together to manipulate the price or trading volume of MORE share during the period from 18 July 2022

investigation revealed that the investment on the bills of exchange (B/E) had been approved by the Investment Committee of Solaris Asset Management Co., Ltd. chaired by Mr. Suphan Sethapanich. According to

Homtuanlom, for operating derivatives business (gold future agent) without license and defrauding the public, causing a damage of 13 million baht. From the SEC?s investigation, these companies do not have