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
trading orders.In case of {A}, the SEC received the report from Asia Plus Securities Plc. on investigation spurred from clients? complaint about {A}'s conducts. It was found that {A} had sent trading orders
investment consultant, the SEC received complaints from several clients of Bualuang Securities Public Company Limited and conducted further investigation which revealed that {A}, a capital market investment
การตรวจสอบความมั่นคงปลอดภัยของระบบ และการตรวจสอบพิสูจน์พยานหลักฐานทางดิจิทัล (digital forensic investigation) ในกรณีที่มีเหตุการณ์ที่ส่งผลกระทบต่อความมั่นคงปลอดภัยของระบบที่เกี่ยวข้องกับการเก็บรักษา
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
) Tepparit Sihisarapisit, (10) Duangkamon Kietsukasem (11) Meesak Makbumroong, (12) Surassawadee Katetud, and (13) Thai Bunpradphai, with the Department of Special Investigation (DSI) for manipulating share
submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
. Adjustment on SET?s trading systemSET has adjusted the parameter of circuit breaker for mai Index to prevent the repetition of the incident. 3. Investigation on irregular trading after market halt Halted at
Following an inspection report from ttb Bank and the SEC’s further investigation, it was found that during the years 2015 – 2024 Sareerat acted in a manner that implied dishonesty and committed