strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume
Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume. He
permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on
Greenhouse Gas Management Organization (TGO), the Fiscal Policy Office (FPO), and the Stock Exchange of Thailand (SET) to discuss guidelines for regulating carbon credit trading under the draft Climate
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), along with Mrs. Waratchya Srimachand and Mr. Anek Yooyuen, SEC Deputy Secretaries-General
collaboration in preventing securities trading violations under the Securities and Exchange Act and the Anti-money Laundering Act. This agreement aims to support effective law enforcement capabilities and
forces when necessary. The goal is to improve prevention and enforcement efforts against unfair securities trading practices, embezzlement, fraud, and financial misconduct under the Securities and Exchange
According to the referral from the Stock Exchange of Thailand (SET), persons were found to have taken action liable to be an offense related to the sales of SQ shares by using inside information on
Following a referral from the Stock Exchange of Thailand (SET) in 2022 and the SEC’s further investigation, the uncovered facts and evidence led to the belief that Mr. Pongsak Lothongkam, who at the