determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
PowerPoint Presentation Considering whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action CSC considers whether a civil sanction is proper to
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securities http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 18/12/2009 company is licensed to operate derivatives business. Later, the company took
Company Limited (“VI”)), a securities http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 18/12/2009 company is licensed to operate derivatives business
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submitted the inaccurate audited http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 08/02/2024 Mr. Akalarp Yimwilai Zipmex Company Limited ("Zipmex