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

investor contacts is unethical and violates the SET?s rules. Yet, the SEC frequently finds and is informed of such practice which may constitute misconduct opportunities against clients? assets through the

securities companies. Additionally, there were reasons to believe that Surat asked the client who accepted the executed transaction for a share of profits generated thereby. In the case of Saranporn

regulation. Key highlights included: (1) Utilizing AI to detect suspicious trading behaviors and potential misconduct, aimed at promoting transparency and strengthening investor protection, and (2) Building an

in case of complaints or issues on misconduct of directors or executives of listed companies under the Securities and Exchange Act B.E. 2535 (1992) to enhance flexibility of work process and

auditor qualifications in relation to experiences and introduction of new measures and sanctions relative to levels of misconduct ranging from minor to serious. In addition, the approval criteria for

securities of his client without authorization. His misconduct caused his client more than one million baht in damage. The interference with the client?s assets contravened the Standards of Conduct under

violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital

her employer bank a report on her severe professional misconduct which was considered dishonest and unethical behavior in violation of Clauses 3(10) and (12) of the Notification of the Capital Market