The Securities and Exchange Commission (SEC), represented by Ms. Archinee Pattamasukhon, Assistant Secretary-General in charge of the Corporate Communication Division, participated in a TikTok
all offenders in this case were impleaded according to the evidence obtained from investigation process. “The SEC has taken actions according to the authority under the SEA and collaborated with
the SEC Complaint Center via Hotline 1207, or the SEC Facebook page: “สำนักงาน กลต.” or the SEC Live Chat on the SEC website, for further in-depth investigation.
Earlier, the SEC filed a criminal complaint against the 10 entities with the Department of Special Investigation (DSI) on account of fabricating financial statements, disclosing false information in
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment
Following a report from Krungthai Zmico and SEC’s further investigation, it was found that during 22 - 24 November 2017, Niparporn placed the right to IPO allocation of three clients to the clients
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