wrongdoing against a client’s assets by (1) using the client’s credit card to withdraw cash and spending the money for her own personal use, (2) replacing the client’s banking account contact information

addition, due to the fact that Amorn, Pipat and Nasika held the position of director and/or executive of AJD at the time of committing offenses and were imposed with a civil penalty by the Civil

In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for

Supervisory Board (CMSB), at its meeting No. 7/2567 convened on 16 July 2024, passed a resolution approving in principle the proposed amendments to the Thai ESG regulations to accommodate the government’s

According to the regulations established by the SEC for Thai mutual funds wishing to invest in foreign mutual funds, there is a specific requirement that such foreign mutual funds must be

new investments in Thai ESGX and the transfers of existing LTF investments to Thai ESGX during a designated two-month window from May to June 2025, in accordance with the Revenue Department’s rules. The

collaborative initiative to facilitate investments in Thailand ESG Extra Funds (Thai ESGX) and the transfers of units of Long-Term Equity Funds (LTF), starting May 2, 2025. Facilitating this initiative, a new

SLC shares and gained the illegal profit at the expense of general public.   Thai, in particular, aided or abetted the group by gathering and providing related information which is essence to the

, stimulating trading by sending bids and offers in small amounts at the same price level for several transactions, and stabilizing the price of those securities to mislead and lure the investing public into the

prices of Mida Leasing Plc. (ML) in 2008 and 2010 and Max Metal Corporation Plc. (MAX) in 2010. Upon a referral from the Stock Exchange of Thailand with regard to irregular trading condition of ML shares