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

PT Millennium Penata Futures, and Kasemsak Sirisrisornchai, a director of J.R.A. Business Center Ltd.  This follows complaints indicating that the aforesaid firms represented themselves to the general

) establishing an efficient management system for handling complaints or disputes in connection with provision of services as securities registrar; (6) facilitating the examination of the securities register for