the status of approved investor contact for three months as from September 1, 2011. In case of {B}, the SEC received a report from Bualuang Securities Plc. on its investigation which was conducted upon
. In addition, efficiency of legal enforcement will be enhanced by improving timeframes of case management on investigation and complaint handling, and cooperating with relevant agencies such as the SET
Bangkok, February 16, 2015 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against nine alleged offenders for falsifying documents and accounts and corporate
KTB Securities? investigation report. From the SEC probe, it was found that the complainant was lured into transferring money into a bank account at KTB Securities for payment of securities trading and
Section 56 in conjunction with first paragraph of 274 of SEA. The case was resulted from the action on June 30, 2005, where the SEC had filed complaints with Department of Special Investigation ("DSI
Following a referral from the Stock Exchange of Thailand (SET) in March 2023 and the SEC’s further investigation, the findings and evidence indicated that during 5 August – 9 November 2022, these
countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good
shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as
contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the