Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment

Following a report from Krungthai Zmico and SEC’s further investigation, it was found that during 22 - 24 November 2017, Niparporn placed the right to IPO allocation of three clients to the clients

}. However, after fact examination, it was found that there was a reasonable ground to believe that the actual payment for the purchase of the land and the office building was 40 million baht, and the

Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the

According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium

Following the tips from various sources to SEC, it has been found that there are several solicitations via social media platforms such as Facebook and YouTube for investment in seven products that

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium

TMB Bank Public Company Limited (TMB). According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa

years and 10 million baht within four years, and (3) requiring REIT managers to report the maintenance of capital to the trustees.The consultation paper can be found at https://www.sec.or.th/TH/Pages

share price and trading volume against normal market conditions. In this regard, SEC has found that one of the factors for such trading irregularity was that the true free float of DELTA shares was low