Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
Following investors’ complaints and SEC’s further investigation, it was found that during 2013 – early 2015, a group of persons opened a learning course on the topic of technical analysis and gave
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1
operators and capital market business personnel, covering the following approaches: (1) cancellation of the requirement for a renewal application for approval as capital market business personnel in the
to discuss the matter with business operators. In essence, the regulations on the establishment of high yield bonds and an appropriate investor protection mechanism include the following criteria
the following clauses in three notifications: (1) Clause 4, Clause 5, Clause 11 and Clause 14 of the Draft Notification of the SEC Office No. Sor Nor. /2564 Re: Details of the Mutual Fund Scheme
Following tips and the SEC’s further inspection, it was found that {X1} has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for the
related to utility tokens or cryptocurrencies that have any of the following characteristics: (1) Meme token: having no clear objective or substance or underlying, and whose price running on social