{A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was

manipulation and other offences under the securities laws, were seized. The SEC will examine the seized documents and evidence for consideration of further legal actions against the offenders.

related receipt and payment transactions, and the accounting records practice. The company was also required to examine the issue raised by the auditor whether the questionable transactions of land sales

required to examine the issue raised by the auditor whether the questionable transactions of land sales and purchases were in line with the normal course of business operation.Concurrently, the SEC

whether they are in accordance with the advertising and associated rules as well as be approved by CEO before publication. After publication, company’s compliance unit must monitor and examine all

assets comes with high risks. Those who are interested in investing must have knowledge and ability to take risks in investment losses. In a case of persuasion for investment, investors should examine

Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities

from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow:            (1) In the case of {A}, she was found to fail to examine the correctness of

, registrars, depositories and regulators – to examine bond information more conveniently and rapidly while benefiting from less redundancy and shorter timeframe for book closing process.    ThaiBMA’s

investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation