true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure
tricking the client to sign on a unit transfer order that was falsefully presented to the client as the subscription order for the units of the solicited fund.Niran's misconduct was deemed a failure to
On 22 September 2022, the Capital Market Supervisory Board Meeting No. 10/2565 passed a resolution approving the proposed amendments to the regulations related to establishment and relocation of offices or branches of business operators in accordance with the Regulatory Guillotine to increase flexibility and streamline processes and operating burdens on the business sector. Essentially, the proposed amendments would: (1) apply the same auto approval principles for the establishment of...
offences regarding market misconduct, and introducing civil penalty as an alternative sanction. Assistant Secretary-General Sakkarin Ruamrangsri said: ?The nature of market misconduct has become more
focus on preventing, deterring and suppressing inappropriate behaviors and misconduct as well as effective enforcement in all cases, at a media briefing on 6 February 2024, at the SEC Building.More
the capital market, taking into account its strengthening of good governance standards, decisive actions against market misconduct to safeguard investors, strong support for innovation and regulatory
regulation. Key highlights included: (1) Utilizing AI to detect suspicious trading behaviors and potential misconduct, aimed at promoting transparency and strengthening investor protection, and (2) Building an
in case of complaints or issues on misconduct of directors or executives of listed companies under the Securities and Exchange Act B.E. 2535 (1992) to enhance flexibility of work process and
auditor qualifications in relation to experiences and introduction of new measures and sanctions relative to levels of misconduct ranging from minor to serious. In addition, the approval criteria for
violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital