Following a complaint in 2023, the SEC conducted an investigation, coordinated with the DSI and found evidence that, during 2020, four directors and executives of NUSA, namely (1) Mrs. Siriya

According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading

According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged

According to the referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, (1) Polyplex Corporation Limited (PCL), which directly holds 16.5 percent of PTL shares and

for investigation. Given such circumstances and the fact that criminal procedure takes a long time, it has been difficult to bring a market misconduct offender to justice.?The approved amendments

from investigation that the client instruction was unclear and certain conversations could indicate that {F} had made unauthorized gold futures trading decision and informed the client afterward

comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system

) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The organisational structure of the company shall be

least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The

single storey building area 70 square meters for control the pumping of raw water to the water supply station. The buliding located Moo.7 Thai Mueang District, ampher Thai Mueang, Phang Nga Province