through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
special case expert and acting Director of the Bureau of Legal Affairs, the Department of Special Investigation (DSI), the Ministry of Justice. With over a decade of experience in special case investigation
Bangkok, 24 January 2024 – The Securities and Exchange Commission (SEC) reinforces collaboration with the Department of Special Investigation (DSI) regarding the legal proceedings against the
first bilateral memorandums of understanding designating multilateral cooperation for digital transformation of the Thai capital market in line with Thailand 4.0 Blueprint, on 27 May 2019 at the SEC
fairly. The role, duties and responsibility of directors/ executives The board of directors has a good understanding of its roles, duties, and responsibilities to the shareholders who are the public and
) to the SEC within the specified period. This case is in the process of investigation by the inquiry official SEC Act S.56(2)(3)(4) Criminal Complaint Filed with an Inquiry Official Dated 28/02
SEC has received a tip from an investor that a Facebook account named “Japhoon” (meaning Catching Stocks) may operate business without obtaining a license from SEC. After further investigation of
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the