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

According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium

Following the tips from various sources to SEC, it has been found that there are several solicitations via social media platforms such as Facebook and YouTube for investment in seven products that

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium

’ equity falls below zero. In case of any irregular trading activity, SET is the frontline inspector and, if it is considered a liable offense, will gather information for SEC to conduct in-depth inspection

งานกับหัวหน้าและผู้แทนสำนักงานสอบบัญชี ในการนำแนวทาง IT security and Cyber security ไปปรับใช้ในสำนักงานสอบบัญชี 

ได้ (investment grade) (2) ให้ ก.ล.ต. พิจารณาความเป็นไปได้ในการสนับสนุนค่าใช้จ่ายในการพัฒนาทักษะของบุคลากรในตลาดทุน การขยายฐานผู้ลงทุน รวมทั้งการพัฒนาระบบเทคโนโลยีสารสนเทศ (IT System) เพื่อยกระดับ

environmental and climate data disclosure since it is an important issue and is in accordance with the SEC’s policy in promoting environmental, social, and governance (ESG) for sustainable capital market

that “it is a policy of  SEC to seek public opinions and learn about problems and obstacles of the concerned parties in every sector of the capital market, including securities business operators and

agreed or conspired on creating the false appearance of the price and volume of ACD shares by continuously transacted in the shares pushing it to the higher price. This actions misled the general public