, 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

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

Following a referral from the Stock Exchange of Thailand (SET) in March 2023 and the SEC’s further investigation, the findings and evidence indicated that during 5 August – 9 November 2022, these

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

person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the

instruments and the examination of the management on compliance with the prescribed rules; (3) Proxy voting as a shareholder to protect the interest of the fund and to demonstrate the intention to promote good

continuous basis until the rights of sukuk holders end; (2) submitting an application for registration of sukuk to the Thai Bond Market Association; Clause 26. The asset trustee shall proceed or act in