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

,” said SEC Secretary-General.  In this regard, SEC has added more channels for complaints or inquiries via Live Chat and SEC Help Center 24-hour Hotline at 1207

complaints, please call SEC Help Center Hotline at 1207 or send an email to complain@sec.or.th.___________________________

proceedings.Earlier, the SEC filed criminal complaints against the four offenders on the suspicious ground that their misconduct may be liable to the offenses under the Emergency Decree on Borrowing Which Are Regarded

punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to

evidence, complaints from 10 securities firms asking for legal actions against a number of persons, allegedly deceiving and defrauding the companies of the securities trading money, causing damage to the

the person. The SEC, therefore, files complaints against Apichart and the three persons with DSI. In any case, filing a criminal complaint commences criminal justice administration whereby the court

committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd.  Following the inspection reports of Globlex and KTB and her clients? complaints, the

examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for

alleged offenders to hear the charges. In addition, there was media coverage on complaints relating to the establishment of BTS Rail Mass Transit Growth Infrastructure Fund (BTSGIF) currently in the process