misconduct, an inspection report from the bank and the SEC's further investigation have revealed that she solicited an elderly customer to invest in a mutual fund unsuitable for the customer's profile

revealed such wrongdoings, a criminal complaint was filed with the Department of Special Investigation (DSI) against Ratchasak on December 30, 2010. The DSI then proceeded the case and collaborated with the

financial statements on cost of sales and inventories which revealed lack of efficiency and reliability of AIE internal control system. The auditor was thus unable to gather sufficient evidence for such

SEC revealed that, under the situation of the outbreak of COVID-19 which has impacted the business operations, the financial positions and the performance of listed companies and security issuers

SEC Deputy Secretary-General Tipsuda Thavaramara revealed that SEC has launched an automated data distribution system, or SEC API, to enable easy access to SEC’s information or third party

SEC Secretary-General Rapee Sucharitkul revealed that “the financial reports are crucial for investors’ investment decision-making. The independence of auditors, which plays an important role in

Limited (BSEC)  based on nonpublic information he had known by virtue of his working positions. Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further investigation has revealed

reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's

{G}, they failed to record some of client trading orders correctly and completely.  In this regard, the SEC revealed their inappropriate actions and recorded such demerits for future reference if

Bangkok, August 21, 2012 ? The SEC revealed that the Settlement Committee has imposed a fine of 500,000 baht on Sunthorn Chaononghin, then an engineer of Solartron PLC (SOLAR), for trading SOLAR