The Securities and Exchange Commission (SEC) welcomed faculty members and senior cadets from the Royal Police Cadet Academy (RPCA) to attend lectures on “Overview of Law Enforcement and Unfair Activities in Securities and Digital Asset Trading” and “Overview of Digital Asset Oversight.” Representatives from the Enforcement Department 1 and the Digital Asset Enforcement Department delivered the lectures, aimed at enhancing the learning skills related to the duties of public sector officers...
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
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