found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and

license under Section 26, penalties under Section 66 may apply. If facts indicate such behavior constitutes an offense, the SEC will consider taking action within its authority. Furthermore, the

(Recovery point objective), such as data on assets of customers and funds, securities or unit trading transactions or information on NAV, so that companies are able to operate consecutively and render no

information technology system, inaccessibility or unusability of building or personnel unable to come for work in both temporaty or permanently cases. 3.3 Business Impact Anaysis Companies shall analyse a

the theme ?The successful world at your backyard?, the SEC booth aims to promote that saving and investment are not as something distant but relevant to everyday life. As such, everyone should start to

transactions. Therefore, the SEC has notified NUSA to amend its financial statements regarding the above transactions to ensure accurate information according to the facts. The company is also required to submit

Following a referral from the Stock Exchange of Thailand (SET) in 2022 and the SEC’s further investigation, the uncovered facts and evidence led to the belief that Mr. Pongsak Lothongkam, who at the

quarter of 2016 because they failed to present correct information on the liabilities incurred from the company's issuance of bills of exchange (B/E). KC is also required to have a special audit on such B/E

Bangkok, 21 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Sarath Teganjanavanich and Ms. Malita Limlomwongse, for using inside information to buy shares of Thai Optical

days.In any case, failure to comply with the SEC orders or disclosure of information inconsistent with the facts may subject EARTH's directors and executives to legal action that could lead to criminal