Official Dated 16/10/2017 misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting

/2548 Re: Approval for Investor Contacts and Standards of Conduct. Since her investor contact status had expired earlier for failure to have it renewed, the SEC, therefore, keeps her misconduct on record

of duty is found.  The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business

orders sent through him for several days. {A} admitted that the securities trading orders were taken via mobile phone; the misconduct of which he had previously committed. In case of {B}, the SEC found

any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly without professional due care is in violation of Clause 23(2) and he is deemed to have the prohibited

, and take any actions with, their assets, securities trading accounts and banking accounts might lead to misconduct opportunities. Should investors have reasons to doubt the operation of any investor

investor contacts, securities companies and investors themselves of the negative effects of asset interference and strongly advising investor contacts against committing such misconduct; otherwise, the SEC

The auditor expressed a qualified opinion on NRF’s interim financial statements for the third quarter of 2024 because the auditor was unable to obtain sufficient, appropriate audit evidence

offer for sale of baht bonds, the foreign entity issuer must obtain an approval and adhere to the obligations specified by the Ministry of Finance. However, given the changing contexts and landscape of

Market and Related Entities Enforcement Class https://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/CLASSACTION.aspx English (United States) Market Misconduct Infrastructure Trust Digital Asset Business