action procedures, designating responsible persons and reporting the event. An audit of system security is also required as well as digital forensic investigation in case of any event affecting the

TMB Bank Public Company Limited (TMB). According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa

According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order

TMB Bank Public Company Limited (TMB).According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had

Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the

Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment

Following a report from Krungthai Zmico and SEC’s further investigation, it was found that during 22 - 24 November 2017, Niparporn placed the right to IPO allocation of three clients to the clients

investigation, the public attorney’s prosecution, and the court’s jurisdiction, respectively. ___________________

investigation. Any act liable to be an offense under the Securities and Exchange Act B.E. 2535 (1992), the Derivatives Act. B.E. 2546 (2003), or the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium