Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
jointly pay a reimbursement of investigation expenses incurred by the SEC in the amount of 102,132 Baht together with interest at the rate 7.5% per annum since the date of the entry of the plaint (3
reimbursement of investigation expenses incurred by the SEC in the amount of 102,132 Baht together with interest at the rate 7.5% per annum since the date of the entry of the plaint (3 September 2020) until the
offence and a reimbursement of investigation expenses incurred by the SEC in a sum of 18,430,644.75 Baht together with 7.5% p.a. interest calculated from such amount since the date of the entry of the
paragraph is added: ‘For the purpose of Article 46(1) of Directive 2006/43/EC, the public oversight, quality assurance, investigation and penalty systems for auditors and audit entities of the following third
interest in Stark Corporation Public Company Limited (STARK), the SEC has already filed a criminal complaint with the Department of Special Investigation (DSI). When news of the concerns in the matter
information from SET, which acts as the first-line inspector to detect suspicious trading activities. AMLO then takes over the investigation of financial transactions to facilitate asset-related legal actions
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was revealed that during the months of December 2017 – May 2018, two groups of persons engaged