The Office of the Securities and Exchange Commission (SEC) participated in a panel discussion on the topic “Exposing Scams: Staying Ahead of Scammers 5.0” and presented an investor education

warning of possible breach of investment terms in the redemption form.Given that the redemption was ahead of the five-calendar-year holding requirement to be eligible for the LTF tax benefits, {A}'s failure

specific features of trigger funds. For example, fund intermediaries must strictly clarify that the trigger point is not a guarantee of returns, and that unit redemption ahead of the target date set in the

Baht 354.51 million, which was increased of Baht 41.44 million or 11.69 percent. As a result of effective ownership transferring was increased. These include Baan Pha Piyarom Niva, Natureza Phase 2, Baan

February 2020 of Rich Asia Industry Company Limited (“Subsidiary Company”) in order to do legal registration in transferring and registering the ownership of 87 machines no. 41-318-306-0197 to 0286, located

from transferring or disposing of assets. The SEC will continue to monitor the progress of this case and coordinate with relevant agencies to prosecute to the fullest extent, in order to support the

misappropriated the client’s money by forging the client’s signature, revising the client’s significant information to access the client’s mobile banking account and transferring money from the client’s account

making a cash payment and transferring money to a personal account of the serving investment consultant. Investors should make payments via payment channels and methods specified by the service provider

had misappropriated the client’s money by forging the client’s signature, revising the client’s significant information to access the client’s mobile banking account and transferring money from the

of FOCUS shares by using trading accounts of his clients to execute trading orders and manipulate the price of FOCUS shares and subsequently helped with the transferring of money gained from such