Thai Fintech startups, research findings by SEC staff, researchers from academic institutions and relevant organizations, as well as insights from guest experts in the capital market.  The event

According to the SEC inspection findings, Asia Wealth Securities Company Limited had failed to maintain the minimum net capital (NC) as required by the SEC regulations since 14 November 2022 and

and submit the findings and views to public prosecutor who has authority to prosecute the case against the offenders. The consideration of whether person is guilty or not is thereafter vested on the

findings, evidence and the company?s explanations showed ? failed to comply with the generally accepted accounting principles. In November 2010, Chonburi Kanyong Co., Ltd., a CCP subsidiary, sold its

14, 2012.  The sanctions followed the SEC findings that the said persons mismanaged T.U. Dome Residential Complex Property Fund (T.U. Dome) severely, causing substantial damage to the fund and the

investor contact of Asia Plus Securities Plc., is suspended for six months after findings indicated that he had traded securities in a client's account for another person for more than a year by taking

.  The SEC findings also revealed that {D}, AEC co-chief executive officer in charge of back office, and {E}, AEC co-chief executive officer in charge of front office, had generally neglected supervision

result, the Settlement Committee imposed the fine of 1,101,000 baht on AEC.  The SEC findings also revealed that Thada, AEC co-chief executive officer in charge of back office, and Pisit, AEC co-chief

required to clarify the auditor’s inquiries on cost of sales and inventories by May 12, 2015. The SEC received AIE audit committee report concerning the auditor’s findings in the audit of the company 2014

According to the SEC’s findings, XT .COM has provided a digital asset trading system to facilitate trading and exchange of digital assets while charging fees. Additionally, it has promoted and