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damage client's assets. In case of {C}, the SEC received a report from securities company that had disciplined {C} after findings indicated that he had sent inappropriate trading orders in a manner that

million baht. The SEC?s findings were similar to the previous investigation in that Wichai had falsified document for securities purchasing order to deceive NIPPON into paying for such fictitious purchase

findings were similar to the previous investigation in that {A} had falsified documents for securities purchasing orders to deceive NIPPON into paying for such fictitious purchases in the total amount of

personal benefits from the margins of the offer prices.    According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to

? debentures. Findings pointed out that credit watch placement information had significant impact on the companies? share price movement, with stronger impact in cases where credit watch placement information

Following the referral from the Stock Exchange of Thailand (SET) in September 2023 and the SEC’s further investigation, the findings and evidence indicated that during 1–13 June 2023 the four

the investment in S-TREK and capital increase and the allocation of newly-issued shares in relation to the investment in S-TREK. This results from the fact that after the Board of Directors’ Meeting No

, 2019 in relation to the investment in S-TREK and capital increase and the allocation of newly-issued shares in relation to the investment in S-TREK. This results from the fact that after the Board of

. The answers to each questionnaire should base on actual practices. If the assessment results in deficiencies in any internal control components (whether it is the reason for neither system existence nor