According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order

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

that has not covered the enforcement of investors’ rights as determined in the filing and prospectus. Other mechanisms equivalent can be used in replacement. For example, obligations or document with

of beginning business operation instead of the date of approval, as previously required. In addition, SEC has specified that the ICO portals must show that they have efficient IT systems and

a loan from a financial institution. The Board of Directors and the Audit Committee view that the investment in such projects can generate long-term consistent income and the contract party is a

bond does not specify a redemption period and thus may require that investors hold such bond longer than general debt securities.    Additionally, SEC aims to enhance the efficiency of the sale process

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 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

The SEC supports and promotes sustainable investment on a continued basis, emphasizing the importance of business operation and investment in the Thai capital market that takes into account every

the AIMC has not issued relevant rules, asset management companies shall comply with the SEC’s regulations that have been in force before the effective date of the amended regulations until the AIMC