intention to illegitimately seek benefits from client?s assets. Following the complaint filed by the clients of Siam City Securities Co., Ltd., and the company?s auditing report where numerous clients had
executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved
retirement funds as new investment choices for the retired with demand for regular payouts and return from their retirement benefits. The fund?s portfolio will be allocated to invest in not too risky assets
suspicious transactions, as well as issue an order to seize or freeze any assets relating to the offenses under such Act. Furthermore, under the Counter-Terrorism Financing Act, the above reporting entities
://market.sec.or.th/public/idisc/Download?FILEID=dat/news/201902/19021674.pdf E_1 Legal_FA_2015_12_29-c Community (AEC), and the advancing digital age amid the rapid pace of technological advancement, thus leading to
consistent with securities regulations. This approach also aims to protect investors in cases where digital asset business operators provide services beyond the scope of their licenses, leading to license
collaterals in margin accounts have experienced price volatility and declines due to various factors. When stock prices drop, the value of the collaterals is subsequently affected, leading brokers to forcibly
appointed to the special case investigative team. The SEC has been coordinating and working closely with the inquiry officials, leading to the filing of a criminal complaint against a number of offenders for
According to the referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, facts and evidence were found leading to the belief that Worawoot, COL director and the
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, there were facts and evidence leading to believe that the actions of the three persons above