their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

providing services to clients with loyalty while applying knowledge and skills with discretion as professional. In the case of SKFM, SEC ordered the company, a small-sized asset management company whose

persons, companies, or investment products relating to securities and digital assets, as well as to verify the legitimacy of the licenses of SEC-approved businesses, which can be found in the Investor

case that any party claims to be an intermediary, either as digital asset exchange, broker or dealer, SEC suggests that investors should verify their legitimacy via the list provided on the SEC

the business entities which have obtained company registration from the Ministry of Commerce have legitimacy to undertake derivatives businesses which in fact require separate licenses from the SEC

any of investing public who have been contacted or solicited to invest in derivatives products such as gold futures and oil futures, no matter how tempting the offers are, to verify the legitimacy of

/News_Detail.aspx?SECID=8284 SEC launches application “SEC Check First” persons, companies, or investment products relating to securities and digital assets , as well as to verify the legitimacy of the licenses of

products relating to securities and digital assets , as well as to verify the legitimacy of the licenses of SEC-approved businesses, which can be found in the Investor https://www.sec.or.th/EN/Pages