Bangkok, June 21, 2016 ? The SEC and the Stock Exchange of Thailand (SET), with support from the Office of the Judiciary, have recently co-organized a capital market seminar to discuss how class

digital asset mule accounts. Moreover, individuals identified as mule account holders will face restrictions on certain transactions that pose a risk of money laundering. Ms. Jomkwan Kongsakul, SEC Deputy

private sectors, financial institutions and stakeholders in the capital market. On this occasion, Mr. Tayakorn Jitrakuldhacha, SEC Director of the Bond Department, gave a presentation on “SEC’s Role in

civil sanction with civil penalties at the total amount of 10,553,382 baht plus interest, as well as a prohibition of securities and derivatives trading and a bar from holding the director and executive

business activities without proper license. The SEC notified the event organizer to suspend the activities of these exhibitors. However, due to a lack of timely cooperation, the SEC teamed up with relevant

Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders

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

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

incurred the total damage of 6.95 million baht onto the investor.  SEC has considered that {A} failed to perform duties with loyalty* by committing wrongful acts against the investor’s assets, which was

Goals (SDGs), the government cannot do it alone. It will require a shared responsibility and strong engagements of all stakeholders. Private sectors need to play a critical role in working hand in hand