According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners:             (1)  funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017;             (2)  managing private funds without taking the cli...

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cause damage, or not having any behavior which indicates an ongoing financial problem, including having no reasonable ground to believe that there is a shortcoming or unsuitability encompassing business

financial condition may cause damage, or not having any behavior which indicates an ongoing financial problem, including having no reasonable ground to believe that there is a shortcoming or unsuitability

financial condition may cause damage, or not having any behavior which indicates an ongoing financial problem, including having no reasonable ground to believe that there is a shortcoming or unsuitability

, AIB Chair, on the occasion of their visit to discuss policies to promote foreign banks' roles in capital markets including the development of services for investors, at the SEC Office on 7 November 2023

Thai Financial Planners Association (TFPA). Mr. Wasin Wattanaworakijkul, President of TFPA, delivered opening remarks, welcoming over 200 participants, including Certified Financial Planners (CPF

including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic