that the former TRITN executives under (1) ? (3) had conspired with the persons under (4) ? (5) to establish and use VBB as a channel for committing fraudulent acts in many circumstances, as follows

The Securities and Exchange Commission (SEC) has considered it appropriate to designate 31 July 2023 as a normal business day for securities companies and derivatives business operators to prevent

, especially those products for which the investment consultants  receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the

Early this year, SEC held public hearings to obtain views on establishing rules that require companies issuing IPOs to disclose information related with the offering for sale of their securities

therefore imposed the following sanctions:             (1)  Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15

an offense liable to revocation of approval as securities investment consultant. However, the approval as securities investment consultant for {A} has already expired since 31 December 2019. SEC has

นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) กล่าวบรรยายพิเศษทางออนไลน์ ในงาน “Green Finance and Investment for a Greener Economy Session”  ซึ่งจัด

Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak

caused damage to {X1}.In this regard, the four persons jointly arranged for {X1} to buy a land and a seven-storey office building to be used as {X1} new office at the price of 60 million baht from {C

fact nonexistent and could not be collected from the company’s clients. The four persons shared the roles in this regard to order a record of false income. In addition, the criteria for advertising sales