benefits from the securities in possession. In any case, securities companies would need to establish efficient control and risk management system.SEC is therefore conducting a public hearing on the

shareholders’ equity in the financial statements for the latest financial year submitted to the SEC. In the case where a company fails to submit the financial statements for the latest financial year but

Licensee List and more information are available on www.เสี่ยงสูง.com. In case of tips on suspicious acts, please call SEC Help Center at 1207 so that the SEC can conduct further investigation. In case of

operator.  Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure Code, after receiving the complaint, the inquiry officer will investigate the case

asset business operator only in case of deciding to invest in digital assets. The list of licensed digital asset business operators and more information on digital assets are available at the microsite

and executives are subject additional disclosure only in case of simultanous holding of similar positions at other listed companies. This requirement also applies to independent directors who provide

therefore imposed a fine of 2,518,646.23 baht. As defendant made confession, the Court commuted the conviction into half to a fine of 1,259,323.11 baht. This case follows the SEC complaint against Apichart

record clients' trading orders, the SEC probed into the case and found that both investment consultants, several times, did not record clients' orders. {A} and {B} claimed that they received clients

Stock Exchange of Thailand (SET). In case where irregular trading is found, the SET as a front-line regulator will refer the case to the SEC for further investigation. At present, a number of cases

, for three months starting from September 1, 2011, and also reprimanded another two investor contacts, (1) {C} and (2) {D} for interfering with client's assets. In case of {A}, the SEC received a report