) Intermediaries: Surveillance, monitoring, inspection and investigation of business operators and related capital market personnel;(5) Enforcement: Legal actions against the violators;(6) Toward international
, please report them to the SEC Complaint Center via Hotline 1207, the SEC official Facebook page, or the SEC Live Chat on the SEC website for further in-depth investigation. Note:*SEC News No. 70/2026
Following receipt of clue information, the SEC conducted an investigation and found that since 12 January 2022, 1000X, the service provider of the website https://www.1000x.live (“1000x.live”), had
Office in accordance with the following rules: (1) produce a report verbally or via an email immediately after that serious incident is known; (2) produce a written investigation report after said serious
According to a referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was revealed that during 13 December 2022 – 30 January 2023, STARK disclosed information
Special Investigation (DSI) for jointly committing dishonest acts to misappropriate the money received from the sale of KC short-term bills of exchange (B/E) for their own interest or other persons?. The
Properties was under investigation in a case initiated by the National Anti-Corruption Commission for being involved in the rice pledge scheme and the rice disposal scheme. Also, Kitha Properties is not
pay a fine of 2,540,000 baht. The jail term, however, was suspended for three years.This follows the SEC?s criminal complaint filed with the Department of Special Investigation (DSI) on May 27, 2010
actively managing strategies for ETFs, i.e., active ETFs, in addition to the existing passive ETFs; 2. Streamlining consideration procedure for underlying index which will be further contemplated for
in investments without active involvement in management. This includes investments in securities, derivatives or digital assets at a collective total exceeding 40 percent of the total assets as per the