Following the tips from various sources to SEC, it has been found that DB Hold had been soliciting people via social media to invest in newly issued shares alongside with products that may be liable to be digital tokens. With a claim to be around 500 million baht worth, these funds were said to be used for investing in several projects such as a digital platform for exchanging goods and services that may involve with electronic units named "DB coin" or "DB token", blockchain systems and ot...

publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook advertisements.Such acts may be unlawful and constitute an offence of luring and offering unauthorized

Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12 clients who were his friends, while {A} took such orders without any written authorization from those...

Bangkok, May 29, 2013 ? The SEC has been awarded a ?Thailand ICT Excellent Awards 2012?in the ?Knowledge Management? category for internal knowledge management under the SEC Centerpoint Project. The

The SEC has received excellent results in the CRMS Assessment for the year 2023 from the PACC* in the areas of approval related operation, which demonstrated the SEC’s commitment to driving and

The SEC has found numbers of cases of online fraudulent actions involving the unauthorized use of names, logos, executive or staff images of the SEC, the capital market business operators as well

customers suspect the company of fraud or unauthorized disposal of customer assets, resulting in financial damage. The SEC has been investigating the above issues while maintaining continued collaboration

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

offenses against the Securities Law such as fraud, unauthorized fundraising or unlicensed securities business undertaking, remain subject to criminal proceedings by means of criminal complaint filing with

Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any