Investors Be Wary of Investment Fraud Investment Governance Code for Institutional Investors (I Code) SEC Complaint Center Resources for Investors fb Start-to-Invest Investor Alert Investor Alert e-service

enquiries about investment in securities and derivatives products or related services, please feel free to contact the SEC at 0 2263 6000 or complain@sec.or.th. In case of investment that likely to be a fraud

(Financial Literacy) เสริมทักษะความรู้ความเข้าใจด้านเทคโนโลยีในการใช้บริการด้านตลาดทุน (Digital Literacy) รวมถึงเสริมสร้างภูมิคุ้มกันการถูกหลอกลงทุน (Scam & Fraud/Cyber-crime) เพื่อป้องกันตนเองจากการถูกหลอก

fraud)

wrongdoings, both in the manners of fraud and unfair securities trading, and the SEC has taken legal actions against these offenders in many cases. In this particular case, the SEC has filed a criminal

forces when necessary. The goal is to improve prevention and enforcement efforts against unfair securities trading practices, embezzlement, fraud, and financial misconduct under the Securities and Exchange

Corporation Co., Ltd. and/or T.M.B. Leasing Co., Ltd.) and fraud. Apart from this case, on August 2, 2011, the Southern Bangkok Criminal Court sentenced (1) {X2} Co., Ltd., (2) {C}, and (3) {D} for undertaking

securities companies to communicate with investors and strictly prohibit their personnel from involving in the said misconduct in order to diminish channel for fraud or embezzlement related to investors

or conceal the truth that should be disclosed which cause deception to customer or may make them misunderstand in any material aspects. Clause 27. Derivatives broker shall arrange to have complaints

deception to customer or may make them misunderstand in any material aspects. Clause 27. Derivatives broker shall arrange to have complaints handling system, report of customer complaints and result of the