According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16

According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the

According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the

approximately 25.1 billion baht and 29 billion baht. According to the investigation, the planner for EARTH at the time of the SEC order (EY Corporate Advisory Services Limited (EY)) had prepared and submitted

, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard

SEC’s further investigation, has found that between 2021-2022 Teerasak had his clients transferred money into his own bank account and/or had their cash exploited, having them informed that such money

Investigation (DSI) after he had refused to enter the settlement process for aiding and abetting the share price manipulation of RCI on May 2 2008, which is in contravention of Section 243 (1) in conjunction with

the status of approved investor contact for three months as from September 1, 2011. In case of {B}, the SEC received a report from Bualuang Securities Plc. on its investigation which was conducted upon

.   In addition, efficiency of legal enforcement will be enhanced by improving timeframes of case management on investigation and complaint handling, and cooperating with relevant agencies such as the SET

KTB Securities? investigation report. From the SEC probe, it was found that the complainant was lured into transferring money into a bank account at KTB Securities for payment of securities trading and