Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders
The revocation followed Apple Wealth Securities’ inspection report regarding three clients’ complaints against Nutnicha and the SEC’s further investigation, which revealed Nutnicha’s misconduct as
from an investor who is not a client of RHB and the SEC’s further investigation into the case, it was found that during June 2020 – May 2022, Phisit had solicited investors to open securities trading
(RegTech) ประกอบด้วยการสร้างฐานข้อมูลเพื่อการตรวจสอบ (data-driven investigation) และระบบงานดิจิตอล (digital regulator)5) รับมือภัยคุกคามทางไซเบอร์ ด้วยมาตรฐานตลาดทุน (market-wide standards) และการซ้อมแผน
misconduct, an inspection report from the bank and the SEC's further investigation have revealed that she solicited an elderly customer to invest in a mutual fund unsuitable for the customer's profile
related to the earlier complaint filed with the Department of Special Investigation (DSI) on 14 September 2016 against three other offenders in the YCI manipulation case, as summarized below: During 10-27
การตรวจสอบความมั่นคงปลอดภัยของระบบ และการตรวจสอบพิสูจน์พยานหลักฐานทางดิจิทัล (digital forensic investigation) ในกรณีที่มีเหตุการณ์ที่ส่งผลกระทบต่อความมั่นคงปลอดภัยของระบบที่เกี่ยวข้องกับการเก็บรักษา
Bangkok, August 8, 2013 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against former directors and executives of Agro Industrial Machinery Plc. (AMAC
Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip
revealed such wrongdoings, a criminal complaint was filed with the Department of Special Investigation (DSI) against Ratchasak on December 30, 2010. The DSI then proceeded the case and collaborated with the