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

such occurrence to the SEC Office without delay. 11 Clause 21 Where evidence are appeared to the SEC Office that an oversea representative office of the intermediary has performed activities outside the

intermediary has performed activities outside the scopes as specified in Clause 18 or has taken any actions which may cause disgrace to the reputation of Thailand or may impact to international relationship

of the intermediary has performed activities outside the scopes as specified in Clause 18 or has taken any actions which may cause disgrace to the reputation of Thailand or may impact to international

of the intermediary has performed activities outside the scopes as specified in Clause 18 or has taken any actions which may cause disgrace to the reputation of Thailand or may impact to international

restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money

services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering legislations, or where the know-your-client

/suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering