trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital
the company’s operating loss in the third quarter of 2019, resulting in the net loss of 266.30 million baht, the highest loss since the SET listing of SQ securities on 26 October 2016. The loss was
public at a financial technology exhibition held at a shopping center. The SEC thus conducted an on-site investigation to collect evidence. Today, the SEC and the ECD inspected the exhibition booths at the
special case expert and acting Director of the Bureau of Legal Affairs, the Department of Special Investigation (DSI), the Ministry of Justice. With over a decade of experience in special case investigation
account to trade securities for one's own benefits; and (4) facilitating a person to open a securities trading account in the name of other persons to trade securities for the benefit of such person were
company directorship was still a subject of legal consideration. In this regard, IFEC proceeded to exercise its legal right to request for the Court to appoint a person to perform the duties of company
cooperation if DSI requires additional clarifications or further investigation in the case.According to recent news reports, the public prosecutor has brought charges in the Criminal Court against seven
: Clients and traders. Public task basis Consideration of complaints, inspection, investigation, enquiries, administrative acts, and any act under the jurisdiction of the SEC Office in compliance with the law
official will perform an investigation before recommending the case to the public attorney who has authority for prosecution. The power to adjudicate whether any person is guilty or not is, however, vested
real estate investment trusts; 2. Appraisers; 3. Consideration of complaints, inspection, investigation, enquiries, administrative acts, and any act under supervision of the SEC Office in compliance with