investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
Exchange Commission concerning examination and disclosure of units of foreign collective investment scheme; (2) being units offered for sale only to institutional and high net worth investors. Clause 5. In
Examination (CMFAS exam) ส่วนหลักสูตร product knowledge ของประเทศไทยที่ MAS ยอมรับคือหลักสูตรการทดสอบ สำหรับผู้ติดต่อกับผู้ลงทุนประเภท ข ด้านหลักทรัพย์1 (Module 1 of the Investor Contact Competency
25 persons, with the Department of Special Investigation (DSI) for jointly committing fraudulent acts, misappropriating the company's assets and seeking unlawful gains, which has caused damage to IEC
make a provision for bad debt amounted to 15.2 mil. baht. Further investigation to determine the actual loss is under way. 2) Exchange loss amounted to 5.3 mil. baht incurred from the foreign currency
(SETLink) by 19 December 2024. Earlier, the SEC filed a criminal complaint against former directors and executives of NUSA with the Department of Special Investigation (DSI)* for colluding to dishonestly
According to the findings from the SEC’s investigation, Longroot failed to maintain the qualifications regarding financial position, management structure, and work systems throughout the approval
complaint against 10 individuals with the Department of Special Investigation (DSI) on account of fabricating STARK financial statements, disclosing false information in the registration statement for
complaint by the SEC is only the beginning of the criminal enforcement process. As to whether any persons are offenders shall be subject to the investigation of the inquiry official, the prosecution of the
Center via Hotline 1207 or through SEC Office Facebook Page or SEC Live Chat on the SEC website for further in-depth investigation.______________________ Remark: * SEC News No. 125/2021 headlined