ก.ล.ต. ได้รับเรื่องร้องเรียนจากลูกค้าที่ได้รับความเสียหายจากการซื้อขายสัญญาซื้อขายล่วงหน้า Single Stock Futures ในลักษณะ Block Trade จึงตรวจสอบเพิ่มเติมพบว่าในช่วงเดือนตุลาคม 2560 {ก} มีพฤติกรรมไม่
, resources management, and oversights of stakeholders, e.g., securities issuers, securities companies, asset management companies, the Stock Exchange of Thailand (SET), auditors and credit rating agencies, etc
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during December 2017 – February 2018, Chantip, by virtue of her position as
According to referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during January - February 2017 Apichart Sukjirawat, Assistant Managing Director
falsely said to be listed on the Stock Exchange of Thailand even though it has already been listed. The clients transferred money to his account for trading such shares, but he did not do so for the clients
the Stock Exchange of Thailand. Documents and subscription forms were given to the attendance who, if interested, would have to make a minimum investment of 100,000 baht in order to earn high returns at
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
from holding the director and executive positions at any securities issuing company and listed company. According to the referral from the Stock Exchange of Thailand (SET) and the SEC's further
for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company, claiming that such company was in the listing process of the Stock Exchange of Thailand (SET), when