According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
Exchange of Thailand (SET) and the SEC's further investigation, Sarath, TOG Vice President, Business Planning and Finance, had access to the information that the net profit of the company had increased
According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
Following investors’ complaints and SEC’s further investigation, it was found that during 2013 – early 2015, a group of persons opened a learning course on the topic of technical analysis and gave
criminal complaint with the Department of Special Investigation (DSI) against Shisiro, Pisan and Kanchanok (or Natchaporn or Rassarin), for falsifying documents and accounting records in the DAIDO financial
related to suspicious acts, please contact the SEC Public Service Center at Hotline 1207 or via SEC Office Facebook Page or SEC Live Chat at the SEC website for further in-depth investigation. In case of