loss. Moreover, {A} advised the client to wait for a quota of IPO shares and expect such shares to compensate for the loss incurred in the client’s derivatives trading account. {A}’s behaviors above were

SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by organizing a unitholders’ meeting or through a letter seeking the unitholders’ resolution. As an alternative, asset management companies are allowed to seek a unitholders’ resolution if the unitholders attending the meeting or replying the letter hold at least 33% of the total investment units, and the num...

Previously, the SEC instructed MVP to conduct a special audit in relation to certain transactions that raised concerns based on the auditor’s observations, the review of financial statement information, MVP’s clarification regarding its financial statements to the SET, and information obtained by the SEC. MVP was initially required to submit the special audit report by 23 January 2026*, and the SEC subsequently extended the submission deadline to March 31, 2026**.In this regard, MVP submi...

Following a report from KTB and the SEC’s further investigation, it was found that during the period from 2024 to 2025, Miss Wannapat misappropriated the assets of two clients in the total amount of 2,106,167.05 baht, thereby causing losses to the clients. The misconduct involved the following actions: (1) selling investment units belonging to Client 1 without the client’s instruction and withdrawing the proceeds from the sale from the client’s bank account for personal use; (2) transferring fun...

Facebook page "Ohkajhu’s garden" impersonates "Pluk Phak Praw Rak Mae Plc." : Unlicensed securities and derivatives business (Disclosure Date : 26/03/2025)

TikTok account “sawakami_s” impersonates “Sawakami Asset Management (Thailand) Co., Ltd.” : Unlicensed securities and derivatives business (Disclosure Date : 11/10/2024)