for investigation. Given such circumstances and the fact that criminal procedure takes a long time, it has been difficult to bring a market misconduct offender to justice.?The approved amendments

? wrongdoings are in contravention of Sections 311 and 315 of the Securities and Exchange Act B.E. 2535 (1992).  The SEC investigation stemmed from a referral from the Stock Exchange of Thailand identifying

from investigation that the client instruction was unclear and certain conversations could indicate that {F} had made unauthorized gold futures trading decision and informed the client afterward

Following a referral from the Stock Exchange of Thailand (SET) in December 2021 and the SEC’s further investigation, it was found that the two offenders, namely (1) Mr. Suthee Siripornpitak, and (2

Bangkok, August 19, 2013 - The SEC today filed a criminal complaint with the Department of Special Investigation (DSI) against {A} on the ground to believe that he sold {X1} Plc. shares by using non

Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the

SEC has received a tip from an investor that a Facebook account named “Japhoon” (meaning Catching Stocks) may operate business without obtaining a license from SEC. After further investigation of

the Stock Exchange of Thailand (SET), their own company websites and the annual registration https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9126 SEC allows more types of businesses to participate

Following a referral from the Stock Exchange of Thailand (SET) in 2022 and the SEC’s further investigation, the findings and evidence led to the belief that Mr. Saravoot Somwattana (a person with

According to the referral from the Stock Exchange of Thailand (SET) in October 2023 and the SEC’s further investigation, it was found that Patcharadanai had placed trading orders in manipulative