After STARK had failed to prepare and submit its financial statements for the year 2022 within the specified period as required by law, the SEC, by virtue of Section 58 of the SEA, instructed the

originally intended by the investors. Such wrongful acts incurred damages onto several clients, at an initial large sum of 74.8 million baht.  SEC has considered that Napasook failed to perform duties or

their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex

investors to use its services, either via its website or Facebook Page: {X1}. On 5 April 2021, the SEC issued a warning letter requiring {X1} to submit a written response but {X1} failed to submit a response

of this amendment is to ensure that customer complaints are handled appropriately, especially in the case where the operator failed to comply with relevant regulations. It also aims to ensure that

consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to

Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with

responsible for the important work systems resigned ? affected the readiness of the company's important work systems. Subsequently, the company failed to meet the standards on work systems. For example, the

derivative warrants of 90 companies, amounting to the total trading value of approximately 130 million baht.By accepting a client's assignment to make investment decisions for the client, {A} failed to perform

. However, Mr. Suphanan failed to perform his duty as directed and submitted a clarification letter to the SEC. The SEC considered his explanation inadmissible. The SEC has viewed that Mr. Suphanan’s