lawsuit against Surin in the Civil, pressing for civil sanctions with the highest legal penalty. SEC has sought the Court’s ruling to require Surin to pay a civil fine, compensate the benefits received
The warning came after the SEC had received information from the concerned public and stakeholders who noticed that unlicensed business operators in the securities and digital asset sectors
received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on behalf of client and seeking benefits from the client during the performance of duties
Division of the Royal Thai Police on account of offering securities for sale to the public without approval.According to the received information and the SEC?s further inspection on public solicitation for
misuse of proceeds received from increase of capital by investing in shares and warrants of P Plus P Plc. The proceeds used to invest in the securities also exceeded the amount approved by GEN executive
complain on the company?s investor contact, Chalerm, the SEC found that Chalerm had received securities and derivatives trading orders from clients, but he had not made any of the transactions. Instead, he
clients?complaint about Chalerm?s conducts. It was found that Chalerm had received securities and derivatives trading orders from clients, but there was no evidence that those orders had actually been
as she allowed Suthee to submit securities trading orders for the client's securities account. She also received incentive payments from such trading. Trading securities on behalf of the client and
some clients. All the said clients acknowledged trading transactions without any objection. Besides, Napat received several trading orders from the persons not the owner of the securities trading
Jordan or Eric Jack Jordan as PPI director and personal capacity and (3) Gary Bradford for jointly operating securities business without license. The SEC received a complaint from a foreign investor