(SBL) transaction and collateral placement for SBL transaction due to its nature of non-absolute transfer where the parties also agree on return of securities borrowed or  withdrawal of collateral

According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false documents in order to lure the investors into believing that their subscription transactions had been e...

Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

of false statements and misrepresentation of STARK as well as its subsidiaries’ accounts or documents during 2021-2022 to deceive others. Besides, STARK had such presumably falsified financial