working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that

trading decisions for the client. From examination of communications records, there was no sources of the orders; just transaction confirmations made by such investment consultant and the conversations

for such trading was made from the client account by {A} without the knowledge of the client.The {B} case was also lodged by an investor. The SEC's finding from an examination of conversation records

; assets to SEC with information that did not align with the facts found by the SEC's examination. This resulted in the consideration that Mr. Akalarp committed or permitted Zipmex Thailand to make

ลงทุน (digital assets & cryptocurrency) การทำงานแบบระยะไกล (remote working) ความยืดหยุ่นในการดำเนินงานของผู้ที่เกี่ยวข้องในตลาด (operational resilience) การตรวจสอบการทุจริตและหลอกลวง (fraud and scams

public by such securities companies and derivatives broker. In this regard, the SEC Thailand assumes no responsibility for verification, examination or certification of completeness, accuracy and update of

information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit

The SEC’s examination of facts in this case has led to the consideration that Zipmex disseminated or certified information that were potentially misleading in substance regarding digital asset

The SEC’s examination has revealed that GIFT’s 2021 annual financial statements showed a significant decline in performance, prompting a detailed investigation. The findings revealed that during 2019

in the occurrence of an Automatic Stay, and subsequently affecting the payment of interest and the repayment of all outstanding JKN bonds. The Court set the date for the examination of the JKN