services to a client, and (2) ongoing form for investment transactions such as subscription, redemption and switching. For further details of the public hearing, please visit https://www.sec.or.th/TH/Pages

committing fraud, misappropriating the company's assets and falsifying accounting records by executing concealed transactions through several associated companies abroad to exaggerate the company's operating

Increasingly, the public and listed companies begin to take interest in performing transactions related to digital assets in various forms such as investment in digital assets, accepting

Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and

Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report

Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment

Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with

Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of

Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the

{C}, investment consultants of a team, they jointly submitted the securities trading orders and informed the client afterwards. The client accepted the transactions while certain communication record