damage client's assets. In case of {C}, the SEC received a report from securities company that had disciplined {C} after findings indicated that he had sent inappropriate trading orders in a manner that

million baht. The SEC?s findings were similar to the previous investigation in that Wichai had falsified document for securities purchasing order to deceive NIPPON into paying for such fictitious purchase

findings were similar to the previous investigation in that {A} had falsified documents for securities purchasing orders to deceive NIPPON into paying for such fictitious purchases in the total amount of

personal benefits from the margins of the offer prices.    According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to

? debentures. Findings pointed out that credit watch placement information had significant impact on the companies? share price movement, with stronger impact in cases where credit watch placement information

Following the referral from the Stock Exchange of Thailand (SET) in September 2023 and the SEC’s further investigation, the findings and evidence indicated that during 1–13 June 2023 the four

Following a referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, the findings revealed offenses committed by the 14 offenders, consisting of 12 co-principals

corporate culture. The findings support the notion that board gender diversity enhances board oversight and helps... https://www.sec.or.th/TH/Documents/Seminars/seminar-061265-03.pdf

Meeting endorsed an initial report that features preliminary findings on the overall state of development of voluntary carbon markets in ASEAN and disclosure principles in carbon offsetting. The report aims

Following a referral from the Stock Exchange of Thailand (SET) in 2023 and the SEC’s further investigation, the findings and evidence indicated that during 3 – 14 November 2022, before the inside