categorized by issues 2022 3 Action on financial statements of listed companies 2022 4 Action on approved persons 2022 5 Aggregate complaints data 2022 6 Investigations classified by types of offences
value to deceive any persons about financial condition and performance of the companies. The said persons were (1) {A}, GSTEL director and executive & GJS director, (2) {B}, GSTEL executive, (3) {C
case and found that the aforesaid persons jointly operated securities business without a license in violation of Section 90 of the Securities and Exchange Act B.E. 2535 (SEA). The said actions were
report, the SEC probed into the case and found that the said companies and persons, without obtaining license under Section 90 of the Securities and Exchange Act B.E. 2535 (SEA), jointly operated
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company
trading account of Another person in such a way as to take advantage of other persons by using positive material non- public information concerning RPC investment inSammakorn Public Company Limited (SAMCO
imposed on 10 persons, namely (1) {A} (2) {B} (3) {C} (4) {D} (5) {E} (6) {F} (7) {G} (8) {H} (9) {I} and (10) {J}.With the referral from the Stock Exchange of Thailand on irregular trading in UKEM shares
and Audit Oversight Mutual Fund Business Operators Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust A Trustee of An Infrastructure Trust Digital Asset Business Operators
New City Public Company Limited (“BTNC”) shares held by itself, and person under section 258 resulting in SIRATARN aggregate number of shares held by other persons exceeded trigger point at 50 percent
of SANKO shares held by itself, and persons under section 258 to reach or pass a multiple of five percent of total number of voting rights of the business. SEC Act S.246 Settlement Committee Meeting