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
Bangkok, September 9, 2014 - The SEC today filed a criminal complaint with the Department of Special Investigation (DSI) against {A} and {B}, former executives of United Securities Plc., {C} {D} {E
(www.sec.or.th) under License Check banner. In case of suspicious unlicensed activities, please report the SEC at 1207 for further investigation," Vasant added.Previously, on September 2013, {A} was also named in
According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium
establish witness protection measures which can be granted during the stage of SEC’s investigation. The measures will provide SEC another prospect to obtain credible information and evidence that will
fine? The SEC Office institute a criminal prosecution by filing a complaint. Department of Special Investigation (DSI) Office of Attorney-General Considering whether to bring a prosecution or not? The