transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading
as originally intended by the investor. In so doing, she made and sent false documents to the investor to lure the investor into believing that the subscription transactions had been executed
In recent times, crimes regarding the capital market have become significantly more intricate, which is why SEC firmly believes that there must be an upgrade in the cooperation between related
permissible products are more complicated, risky and similar to those AIs have been allowed to invest domestically such as unrated bond and foreign sukuk. Moreover, all investors will have more investment
the meeting. If the meeting’s notice has not been sent, listed companies are requested to inform shareholders to utilize this option. If it has already been sent, the message could be sent to the
Bangkok, 28 July 2022 – The Securities and Exchange Commission (SEC) has sent a written notice to Zipmex Thailand, demanding the digital asset exchange to clarify in detail the announcement of
Sirindhorn. As a co-sponsor, the SEC also sent athletes to strengthen relationship and promote solidarity among the personnel of the TSCA members, the Stock Exchange of Thailand (SET), and the SEC. The