consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to

misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed

The notification of the Ministry of Finance regarding prescription of conditions for securities company to apply for approval of person to be major shareholder defines the “Major Shareholder” as

SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of

BANGKOK, December 12, 2006 ? The SEC has revoked the approval for investor contact Vitaya Kongkeaw and put another investor contact Lat Charnanurak on suspension, both for violating the Rules of

Bangkok, January 24, 2008? The SEC today revoked the approval for an investor contact functioning as a marketing officer by the name of Sugunya Changchua for committing dishonest acts, defrauding

: Unapproved public offering of digital token (Disclosure Date : 02/06/2020)

: Unlicensed securities and derivatives business (Disclosure Date : 12/03/2021)

: Unlicensed securities and derivatives business (Disclosure Date : 17/03/2021)

: Unlicensed digital asset business (Disclosure Date : 18/01/2023)