According to the findings after a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, the offenders were divided into two groups, with details as follows

According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the

Thornton? KPMG และ PricewaterhouseCoopers) ภายในปี 2562 ข้อมูลเพิ่มเติม สามารถศึกษาได้ที่ https://www.ifiar.org/IFIAR/media/Documents/General/About%20Us/Inspection-Findings-Survey-Report_Press-Release.pdf

/media/Documents/General/About%20Us/Inspection-Findings-Survey-Report_Press-Release.pdf 

damage client's assets. In case of {C}, the SEC received a report from securities company that had disciplined {C} after findings indicated that he had sent inappropriate trading orders in a manner that

million baht. The SEC?s findings were similar to the previous investigation in that Wichai had falsified document for securities purchasing order to deceive NIPPON into paying for such fictitious purchase

findings were similar to the previous investigation in that {A} had falsified documents for securities purchasing orders to deceive NIPPON into paying for such fictitious purchases in the total amount of

personal benefits from the margins of the offer prices.    According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to

? debentures. Findings pointed out that credit watch placement information had significant impact on the companies? share price movement, with stronger impact in cases where credit watch placement information

been approved by the SEC.According to the tip and the SEC's further findings, BSmart digital tokens have been solicited to the public through online channels such as the issuer's website, YouTube and