การณ์ของตลาดทุนในปัจจุบัน โดยได้จัดตั้งฝ่ายกำกับธุรกิจแนะนำการลงทุน (Investment Advice Supervision Department) เพื่อกำกับดูแลผู้ให้บริการด้านคำแนะนำและการขายหลักทรัพย์แก่ผู้ลงทุน ซึ่งเดิมเป็นหน้าที่และ
's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
a {X1} director, had purchased 1,030,000 {X1} shares through trading accounts of {B} and {C} in the manner that taking advantage of the others for the benefit of himself and others. His action was
: From Pledges to Action," focusing on the SEC’s roles and strategies in driving sustainability covering the business sector and human rights in the Thai capital market. The event was held on 7 February
investors’ rights in alignment with the changing capital market ecosystem. The discussion included strengthening trust and confidence in the Thai capital market through the pursuit of class action lawsuits
those failing to comply with the law may be imposed with legal action.” On 2 July 2021, the SEC filed a criminal complaint against Binance,* a foreign digital asset business operator, for providing
บ้าง คำตอบ : 1. Action การดำรงเงินกองทุนไม่ได้ มีความผิดตาม กธ.32/2560 ข้อ 3(2) ประกอบกับ ม.97 (โทษ ม. 282) 2. Action การคำนวณผิด มีความผิดตาม
T.H.K Trading Company Limited T.H.K Trading Company Limited conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was