Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly wit...

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 following manners:             (1)  funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017;             (2)  managing private funds without taking the cli...

which must be corrected, and the root cause analysis for such errors.  The study also proposes recommendations on important factors which play an important role in the accurate preparation of financial

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. Others include preparation of financial statements, methods to contact and service customers with identification of customers’ real identities or real beneficiaries, evaluation of customers’ investment

of the economy and auditors, as a key stakeholder, play an important role in the capital market. Yet, some related parties in the capital market do not seem to recognize the value of audit as much as

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vested in the securities offeror. If the registration statement contains any false statements or omits to state any material information which should have been disclosed, the securities holders shall be

operators. The revised regulations require the said licensees appoint independent directors to perform their duties with honesty and trustworthiness for customer interest and thus aim to ensure efficient

not only play an important role in promoting the sustainable quality of the listed companies’ financial reports but also help to reinforce fraud prevention. Over the years, the SEC has collaborated