approximately 25.1 billion baht and 29 billion baht. According to the investigation, the planner for EARTH at the time of the SEC order (EY Corporate Advisory Services Limited (EY)) had prepared and submitted
Bangkok, February 16, 2015 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against nine alleged offenders for falsifying documents and accounts and corporate
officer's investigation, the public attorney's prosecution, and the court's jurisdiction, respectively. In addition, being named in the complaint has caused Wichai to have untrustworthy characteristics of
underwriting of investment units (LBDU), the SEC's further investigation has revealed that during the period from August 2008 to December 2015, six of the bank's investment consultants deceitfully took clients
, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
. In addition, efficiency of legal enforcement will be enhanced by improving timeframes of case management on investigation and complaint handling, and cooperating with relevant agencies such as the SET
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the
KTB Securities? investigation report. From the SEC probe, it was found that the complainant was lured into transferring money into a bank account at KTB Securities for payment of securities trading and
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16