. Regarding the share transfer case, Auracha, then an invesment consultant at AEC, was found transfering shares in the client's trading account into her mother's account for her own benefits. Such share
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
organizer in advance, informing them of these concerns before the event date.On 7 September 2024, the date of the event, the SEC conducted an on-site inspection and found that some exhibitors were engaging in
complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within
offering securities in the category of debenture without approval. Following referrals and the SEC's further investigation, it was found that Prasit, chief executive officer of Mandawee Tour, had held a
Following public referrals and the SEC’s further inspection, it was found that investment in the aforesaid digital tokens had been solicited online via several social media channels such as website
Following the tips from various sources to SEC, several investment solicitations have been found via online channels such as websites, Facebook and YouTube regarding the products that may be liable
punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
for the digital asset operating licenses.SEC examined information of Southeast Asia Digital Exchange Co., Ltd. (SEADEX) and found that SEADEX has been operating a digital asset exchange before the