According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was revealed that during the months of December 2017 – May 2018, two groups of persons engaged
underwriting of investment units (LBDU), the SEC's further investigation has revealed that during the period from August 2008 to December 2015, six of the bank's investment consultants deceitfully took clients
** had purchased land for a power plant construction in a corrupt manner to seek unlawful gain. The SEC’s investigation revealed actions that could constitute offenses under the Securities and Exchange Act
examination revealed that on 12 July 2023 (one business day), the aforementioned JMT selling orders originated from BBLAM’s trading account, executed through Citicorp Securities (Thailand) Limited. At the time
According to a referral from the Stock Exchange of Thailand (SET) in 2023 and the SEC’s further investigation, it was revealed that during the period between 2 – 9 September 2022, the four
further investigation revealed facts and evidence supporting the belief that a group of 32 persons acted together to manipulate the price or trading volume of MORE share during the period from 18 July 2022
investigation revealed that the investment on the bills of exchange (B/E) had been approved by the Investment Committee of Solaris Asset Management Co., Ltd. chaired by Mr. Suphan Sethapanich. According to
The revocation followed Apple Wealth Securities’ inspection report regarding three clients’ complaints against Nutnicha and the SEC’s further investigation, which revealed Nutnicha’s misconduct as
consultant for complex products type 1 and investment planner, and (2) {B}, capital market investment consultant, for a period of two years six months each.In the case of {A}, the SEC's inspection revealed
Bangkok, 8 August 2023 – The SEC has revealed the imposition of civil sanctions on two offenders, namely (1) Miss Laksana Supsakorn and (2) Mr. Sommart Dhupchinda for purchasing shares of the Tipco