personnel with knowledge, expertise and credibility among general investors, their misconduct in this case is a serious offense, affecting the reliability of the capital market in a significant manner

misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and

offences regarding  market misconduct, and introducing civil penalty as an alternative sanction. Assistant Secretary-General Sakkarin Ruamrangsri said: ?The nature of market misconduct has become more

focus on preventing, deterring and suppressing inappropriate behaviors and misconduct as well as effective enforcement in all cases, at a media briefing on 6 February 2024, at the SEC Building.More

the capital market, taking into account its strengthening of good governance standards, decisive actions against market misconduct to safeguard investors, strong support for innovation and regulatory

be inconsistent with the intention of the regulations whereby a misdemeanor, an insignificant act or any wrongdoing not directly involved with the issuer’s core business shall be excluded. Given the

gratuity. In this regard, the information on wrongdoing and the application for bounty can be filed either with the SEC or the Department of Special Investigation (DSI), while the application for gratuity

securities. Otherwise, the SEC will strictly pursue legal action against such wrongdoing as insider trading deteriorates investors? trust as well as confidence in the capital market.?

December 2014, it was after the SEC’s probe had revealed such wrongdoing. In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012

regulation. Key highlights included: (1) Utilizing AI to detect suspicious trading behaviors and potential misconduct, aimed at promoting transparency and strengthening investor protection, and (2) Building an