Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders

? assets and using a client's trading account to trade securities for his own interest.Following Apple Wealth's inspection report related to clients? complaints against Sakkarin and the SEC's further

Following POLAR shareholders? complaints and the SEC's further investigation, it was found that POLAR, led by Yanakorn as director and chief executive officer and Poonsak as director and chief

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

urgency.Regarding prosecution of wrongdoers under the Securities and Exchange Act, the SEC said it has received many complaints, adding that progress is made on many fronts, but the investigations are on-going. If

The allegation is a consequence of various complaints lodged in relation to the increased debt of THB 26,000 million following EARTH’s submission of the financial statement for the first quarter

crisis at IFEC. He has also failed to carry out his duty for the benefit of IFEC and its shareholders. There have been many complaints against Mr. Suphanan, alleging that his behaviors have damaged both

four other co-principals, whom the SEC had filed complaints against, to manipulate the price and trading volume of UMI shares by trading such shares continuously in concealment through several trading

securities issuing company or listed company under the SEA.In addition, the SEC is examining other issues of public and stakeholders? complaints regarding whether the duty performance of current and former

investment consultant, the SEC received complaints from several clients of Bualuang Securities Public Company Limited and conducted further investigation which revealed that {A}, a capital market investment