Commercial Bank PLC. (SCB), the SEC further probed into the case and found that {A} signed the form of buy/sell order for investment units without performing duties as an investment consultant.  The client

According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged

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

of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its client activity oversight was insufficient to effectively verify the identity of clients or their

Following an inspection report from KBANK, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was found that some employees of the bank, who acted as

organized under the MoU with four leading business schools aiming to provide a platform for capital market research presentation and implementation in developing the capital market. The Faculty of Commerce

engagement performance, if improved will heighten their efficiency and bolster investor confidence in the Thai capital market.      The SEC?s audit inspection in 2013 covering eight audit firms indicated that

SEC Deputy Secretary-General Tipsuda Thavaramara said: "Capital market and financial technology are advancing fast, pushing securities businesses to increasingly diversify their operation and

and is one of the capital market initiatives undertaken by the ACMF as part of the regional capital market integration plan endorsed by the ASEAN Finance Ministers in April 2009 in Pattaya, Thailand. Mr

more exhibitors were found to be engaging in securities, derivatives and digital asset businesses without proper license. The SEC therefore notified the event organizer to close the booths and suspend