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
/2020 sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020 http
Inquiry Official Dated 08/06/2021 Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a
Official Dated 08/06/2021 Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third
Sawaengha, former director of Asset Million Co., Ltd. (“AMC”), aided and abetted Mr. Suriya Lapvisuthisin, as an instigator, and three other authorized directors http://market.sec.or.th/public/idisc/en
Committee Order No. 3/2022 Dated 28/04/2022 Upbit Exchange (Thailand) Company Limited Upbit Exchange (Thailand) Company Limited (“Upbit”), a digital asset exchange and a digital asset broker, prepared and
of investing in digital assets . Also, the advertisements published in BTS and MRT trains were provided an investment risk in digital asset http://market.sec.or.th/public/idisc/en/Enforce Settlement
/09/2015 Mr. Ratanachai Phatinavin Between February 24, 2014 and February 28, 2014, Mr. Ratanachai Phatinavin has illegally bought 9,000,000 shares of Eastern Star Real Estate Public Company Limited
Committee Order No. 64/2023 Dated 09/08/2023 Phillip Asset Management Company Limited Phillip Asset Management Company Limited had duties to prepare and submit the Daily Subscription and Redemption Report of
Committee Order No. 64/2023 Dated 09/08/2023 Phillip Asset Management Company Limited Phillip Asset Management Company Limited had duties to prepare and submit the Daily Subscription and Redemption Report of