/2552 Determination for Securities Companies to Proceed with Customer Complaints 03/08/2009 01/09/2009 2. Notification of the Office of the Securities and Exchange Commission SorThor. 32/2548 Customer
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proceedings.Earlier, the SEC filed criminal complaints against the four offenders on the suspicious ground that their misconduct may be liable to the offenses under the Emergency Decree on Borrowing Which Are Regarded
examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for
committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd. Following the inspection reports of Globlex and KTB and her clients? complaints, the
punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts
Following investors’ complaints and SEC’s further investigation, it was found that during 2013 – early 2015, a group of persons opened a learning course on the topic of technical analysis and gave
,” said SEC Secretary-General. In this regard, SEC has added more channels for complaints or inquiries via Live Chat and SEC Help Center 24-hour Hotline at 1207