, which Sakkarin confirmed that it could be done, but no money from the sale order was deposited into the client's bank account.Sakkarin's aforesaid misconduct was a failure to perform duty honestly by

for promoting good corporate governance as it reflects their commitment to responsible investment management for the best interest of investors. One of the I Code key principles is to monitor invested

www.sec.or.th.    _____________________ * Crowdfunding is a method for raising fund from investors through a funding portal on the Internet. It is another channel for SMEs and startups to access capital

Industry Consultative Panels process, outlines key strategies and mechanisms to strengthen capital markets as a driving force for sustainable development. It provides clear and concrete direction for

civil sanction imposed by the Civil Sanction Committee. It was then considered that the 40 offenders refused to extinguish the case with the SEC. Therefore, the SEC requested the public prosecutor

that involves transfer of subscription money to personal bank accounts of investment consultants because such arrangement could be used as a channel for committing dishonest acts and it might lead to a

Customer (KYC) were inconsistent with the SEC's acceptable standards, while the sufficiency of their IT security and cyber security systems could not be verified.In addition, as a result of the application

urgency.Regarding prosecution of wrongdoers under the Securities and Exchange Act, the SEC said it has received many complaints, adding that progress is made on many fronts, but the investigations are on-going. If

point of the criminal enforcement process.  Under this process, in order to adjudicate whether a person has committed an offense it will depend on the investigation under the authority of the

by the SEC . The proposed rules also require that all digital asset business operators have an adequate source of fund, cybersecurity and IT risk management, Know-Your-Customer and Customer-Due