suspicious activities in the capital market can be notified to the SEC Complaint Center via Hotline 1207 or SEC Facebook Page or SEC Live Chat on the SEC website.

Earlier, the SEC filed a criminal complaint against the 10 entities with the Department of Special Investigation (DSI) on account of fabricating financial statements, disclosing false information in

Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the

Securities and Exchange Act.  On 16 October 2017, the SEC filed a criminal complaint against the GL management with the Department of Special Investigation (DSI) on account of concealed transactions

and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and

orders. Following a report on client's complaint filed by Country Group Securities PLC., the SEC probed into the case and found that {A} sent trading orders from the client's securities trading account

criminal complaint against Roynet Plc. (Roynet) and Kittipat Yaoprukse for falsifying account to deceive other persons, recording false statement, concealing the report on buying and selling of securities

Pack (Thailand) Plc.?s financial statements for the year 2008 and 2009 and Q1-3/2009.Earlier, the SEC filed criminal complaint against Wichai Chaistaporn, former chairman and managing director of Nippon

unlawful gains from Seamico Securities Public Company Limited (ZMICO). On December 29, 1999, the SEC filed a criminal complaint against Nuprapat, an ex-ZMICO director, on the charge of corporate fraud

damage to the client. With reference to the bank?s report on the client?s complaint and the SEC's further inspection, {A} was found to have signed on the unit redemption form of Bualuang Long-Term Equity