Following the tips from various sources to SEC, it has been found that DB Hold had been soliciting people via social media to invest in newly issued shares alongside with products that may be liable to be digital tokens. With a claim to be around 500 million baht worth, these funds were said to be used for investing in several projects such as a digital platform for exchanging goods and services that may involve with electronic units named "DB coin" or "DB token", blockchain systems and ot...
publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook advertisements.Such acts may be unlawful and constitute an offence of luring and offering unauthorized
consistently a name list of user for the importance operational system and inspecting a name list account of unauthorized user such as the name list account of resigned officer, default user etc. and cease the
or modifying. [M] o Inspecting consistently a name list of user for the importance operational system4 and inspecting a name list account of unauthorized user such as the name list account of resigned
Seamico Securities Plc. (ZMICO), a client filed a complaint that securities in her account had been lost and the SEC?s investigation revealed that Pimon had made unauthorized sales of securities in such
-2263-6000. Recently, the SEC has received several complaints about unauthorized trading of futures using crude oil, gold and foreign exchange as underlying assets. Most investors misunderstand that
customers suspect the company of fraud or unauthorized disposal of customer assets, resulting in financial damage. The SEC has been investigating the above issues while maintaining continued collaboration
: Nattavut Kitprasert made unauthorized trading orders for his clients and intentionally bypassing the phone communication recording system when giving advice and taking trading orders by asking his clients to
proceeds to their bank accounts; and 3. Making unauthorized trading decisions without clients? orders and using the clients? accounts to trade securities for her own interest. The SEC?s probe also
clients' assets. In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the