) technology in our investigation and law enforcement. Moreover, SEC views that technology can help reduce the inequality and help small entrepreneurs, especially SME, to access capital market. Importantly, we
Following the investor’s complaint and SEC’s further investigation, it was found that Somchai had committed wrongful acts against the investor’s assets. In so doing, he withdrew money from the
offering securities in the category of debenture without approval. Following referrals and the SEC's further investigation, it was found that Prasit, chief executive officer of Mandawee Tour, had held a
suspicious acts, please call SEC Help Center at 1207 so that the SEC can conduct further investigation. In case of liable offenses under other laws, the SEC will cooperate with related agencies for further
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
investigation, during 13 November 2015 - 12 January 2016, Prasert, Poramaporn and Narumon executed trading transactions of BA shares in group and on a continuing basis, and matched trading orders among themselves
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working
Exchange of Thailand (SET) and the SEC's further investigation, Sarath, TOG Vice President, Business Planning and Finance, had access to the information that the net profit of the company had increased