, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
SEC’s further investigation, has found that between 2021-2022 Teerasak had his clients transferred money into his own bank account and/or had their cash exploited, having them informed that such money
Following a report from KTB and the SEC’s further investigation, it was found that during the period from 2024 to 2025, Miss Wannapat misappropriated the assets of two clients in the total amount of
shareholding structure prior to public disclosure of such information. Mr. Pichai believed that the SEC investigation, if taken, will find that the group of persons gained huge amount of profit not possible to
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
Following an inspection report from KBANK, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was found that some employees of the bank, who acted as
special case expert and acting Director of the Bureau of Legal Affairs, the Department of Special Investigation (DSI), the Ministry of Justice. With over a decade of experience in special case investigation
Bangkok, 24 January 2024 – The Securities and Exchange Commission (SEC) reinforces collaboration with the Department of Special Investigation (DSI) regarding the legal proceedings against the
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and