bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions

October 2016, the said executives and their associates had jointly committed fraudulent acts by misappropriating the sale money of 25 issues of KC B/E, at the total value of approximately 425 million baht

benefactors, and thus weakened the prevention of improper client activities. Under such circumstance, if a client committed any wrongdoing, the company could be deemed to have supported or participated in such

procedures for proof of guilt committed by a group of persons which is usually the case with market manipulation;      1.4 Supervision of exchange-based trading to maintain continuity and reliability of the

, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment

) said ?The PPPK is committed to support the improvement in audit quality. We believe a reduction in inspection findings will contribute towards greater public trust in financial statements.  As a regional

global market environment. This year we are also celebrating the 20th anniversary and rebranding the SEC identity as a modern regulator and a visionary partner while staying committed to our working

potential, competitiveness, and attractiveness of Thailand’s capital market. The SET is fully committed to driving forward the Capital Market Attractiveness Initiative to enhance market appeal —from

five individuals committed offenses related to insider trading in TKN shares using undisclosed information they knew or possessed that positively affected TKN’s share price—specifically, TKN’s Q3/2022

0=Not aware, 1=Committed, 2=Declared, 3=Established, 4=Certified, 5=Extended