An Infrastructure Trust Digital Asset Business Operators Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices SHARE : For More https
Business Operators Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices SHARE : For More https://www.sec.or.th/EN/Pages/LawandRegulations
According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the
Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading
Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to