assets, redeeming the mutual fund units without client consent in the following manner, causing damage to the client, who had completely compensated, in the amount totaling 1,027,000 baht:           1

Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders

grade, as well as some that remain unrated, on which SEC regulates strictly to protect the investors.Furthermore, the SEC has been closely following the issuing and sale of private bonds. Since June

following prices:            (1)  the weighted average price with a further discount of not more than 10 percent*;      (2)  the book building price;       (3)  the appraisal price by the financial

The afore-mentioned Capital Market Development Plan, acknowledged by the Cabinet on Tuesday, January 31, 2023, consists of the following five strategic directions for continued growth of the capital

or executives for a specified period.With the facts and evidence found following the case referral from the Stock Exchange of Thailand (SET) and the SEC ‘s investigation, it was presumed that Laksana

accounts to seek benefits for himself and the others, a misconduct of client asset exploitation. At the time of his wrongdoing, he was employed by RHB Securities (Thailand) PLC (RHB).Following a complaint

) on May 18, 2016 after they had refused to enter the criminal fining process. Following the Stock Exchange of Thailand (SET)?s referral, the SEC?s further investigation has revealed that Chalaem, then

such manipulation, in the total amount of 2,166,666.66 baht.Details are as follows: (1) ASCON price manipulation: following the Stock Exchange of Thailand (SET)?s report on irregular trading of ASCON

Following an inspection report from ttb Bank and the SEC’s further investigation, it was found that during the years 2015 – 2024 Sareerat acted in a manner that implied dishonesty and committed