platforms. This collaborative effort aims to prevent further harm to the public. Since the launch of the Investment Scam Hotline Initiative on 6 November 2023, the SEC has been notified of fraudulent
across all sectors about the significance of fulfilling their duties to prevent, deter and suppress inappropriate behaviors by listed companies, which could harm and undermine trust and confidence in the
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
addressing potential damage from operational risks. For example, a lower ongoing capital requirement would be permissible specifically for intermediaries that only provide asset management services excluding
25 persons, with the Department of Special Investigation (DSI) for jointly committing fraudulent acts, misappropriating the company's assets and seeking unlawful gains, which has caused damage to IEC
losses on financial assets to cover expected future damage. The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments and
from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public
authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer