return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of

insurance company have signed a contract of life insurance and a contract of investment in investment units with an agreement that the insured shall pay premium to the life insurance company for protection

is to ensure that the Thai people will be able to benefit comprehensively and equitably from the capital market, promoting sustainable financial well-being. In implementing this strategic plan, a

director and CEO of Zipmex Thailand at the time, acted in a manner liable to be an offense under Section 82 of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018). Furthermore, the fact that

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

. Research reports produced by professional investment analysts are a source of important information that investors can use to make well-informed investment decisions for long-term financial goals.However

capital market.SEC has initiated a plan to push new channels towards an easier accessibility for investors to the capital market, and to be able to swiftly change the type of services or called “the ease

transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s

in the manner that implies dishonesty, affecting the reliability of capital market business personnel in a significant manner, both of which are considered prohibited characteristics of the capital

Bangkok, 3 August 2023 –  SEC has ordered a revocation of an investment consultant approval on Mr. Teerasak Tipboonsri for 10 years for failure to perform duties with loyalty, misappropriating