Based on a third-party report and the SEC’s further investigation, it has been found that in 2017 Mr. Chiyachantana (Chairman and Chief Executive Officer of WORLD at the time of the offense

involving booth setups related to investment advice and service solicitation. If it is found that solicitation activities are being conducted by unlicensed business operators or involve investment products

whereas PE Trusts are not listed securities and have a limited number of investors. As a result, SEC has specified different requirements as deemed appropriate to them.The consultation paper can be found

According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant

settlement system, to provide transaction services to investors.  SEC has found that all regulated business operators have implemented their business continuity plan to tackle possible impacts of the Covid

Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts

Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to

Following investors’ complaints and SEC’s further investigation, it was found that during 2013 – early 2015, a group of persons opened a learning course on the topic of technical analysis and gave

. Initially, it is found that most countries have the laws allowing an agency to oversee the audit firms and to convene a meeting to seek opinions and advice on the amendment of the Securities and Exchange

evidence, SEC has found that Artit gave investment advice and solicited the general public to invest in securities and derivatives. In so doing, he used the Japhoon Facebook account as an advertising channel