complainants, namely (1) the initial clarification and related documents gathering phase, (2) the case consideration phase, and (3) legal proceedings phase. This complaint handling improvement aims to give more
lapse on January 24, 2011 while the case is still under the DSI?s consideration. As the case involves a number of witnesses and evidence, it is unlikely to be able to bring the case onto court within the
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
benefit.Following a report of Bualuang Securities Plc., on {A} case the SEC probed into the case and found that he used computer with Bualuang Securities' IP Address to submit the trading orders via client's internet
Earlier, the Civil Sanction Committee (CSC) resolved to impose civil sanctions on Mr. Pakorn Mongkoltada* in the case of purchasing AQUA shares while being a person who knew or possessed inside
judgement of the Civil Court by ordering the defendant, Mr. Suphanan Rittiphairoj, to pay the total amount of 31,926,822.72 baht plus the annual interest rate of 7.5 percent – starting from the case filing
Exchange Act B.E. 2535 (1992) (SEA), as the case may be. This case is in the process of inquiry by the special case inquiry official. SEC Act S.312 315 Criminal Complaint Filed with an Inquiry
Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be. This case is in the process of inquiry by the special case inquiry official. SEC Act S.312 315 Criminal Complaint Filed with an