committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd.  Following the inspection reports of Globlex and KTB and her clients? complaints, the

Insurance Public Company Limited (BKI). Following a referral from the Stock Exchange of Thailand, the SEC?s further inspection has revealed that Chai, then chairman and chairman of the executive board of

further inspection.  Information contained in this news release is as of the aforementioned release date. For those who wish to see current status of the matter, please go to compliant filed with inquiry

According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1

check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The

includes inspection of audit firms’ quality control systems, which has been running since 2010.  According to the Activities Report 2021, audit firms in the capital market have continued to improve their

Following tips and the SEC’s further inspection, it was found that Binance has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for

The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and

failure to record the client's securities trading orders. They were RHB OSK Securities (Thailand) Plc. (OSK Securities) employees.From a routine inspection of RHB OSK Securities (Thailand) Plc, the SEC

Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses