operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal http://market.sec.or.th
possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an
. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal http://market.sec.or.th/public/idisc/en/Enforce
and shall be liable to the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be. The said actions also caused damages to the company but
law and other relevant laws, the SEC immediately took the following actions on the SECC case so as to ensure investor confidence in the market orderliness and stability of the securities trading
individuals and juristic persons were found involved in the offenses and may be found involved in other offenses. The SEC is in the process of further fact finding and will also speed up the further actions
. When being asked for trading confirmation, she then sent the clients falsified documents. It was also found that she had used her clients? accounts for her own interest and other persons?. Such actions
unprofessional and dishonest acts. Her actions were in violation of Clause 14(1) and (2) of the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for Investor
SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of
Companies, these actions are consistent with economic circumstances and rapid changes in the prices of financial assets. We continue to emphasize proactive risk controls via the supervision of the Enterprise