: Detail Content SEC Help Center Samples of Documents or Evidence Sample of Complaints Samples of Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant
business operators, unfair securities trading activities in the capital market. The SEC revenue comprises fee income, subsidies from the Stock Exchange of Thailand, investment revenue and others. All
incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants / investment analysts / unit sellers to give information or advice on the invested products or
capital market has always been a major venue for fund mobilization of business sectors. Yet, prior to the SEC establishment, market development had concentrated more on the secondary market where trading of
identify clearly ) , i.e., objective and details of the complaint, documents and other evidence, for instance, trading account, pay-in slip, transfer-deposit-withdrawal slips, statement report
of Thailand Telephone: 1213 Website: www.1213.or.th ● Trading signs of listed company ● Information of listed company (e.g., news, financial statements, list of shareholders) The Stock Exchange of
making investment decisions with confidence; being treated fairly in securities trading activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor
disclosures that are material to the investors' decisions in trading units of funds. o Issuer: requirements of financial and non-financial information for initial public offering and ongoing disclosures. o
ode of Ethics consists of guidelines for handling conflicts of interest, for example, prohibiting staff from trading stocks or accepting assets or other benefits with value exceeding those
disclosures that are material to the investors' decisions in trading units of funds. o Issuer: requirements of financial and non-financial information for initial public offering and ongoing disclosures. o