client and seeking benefits from the client during the performance of duties. From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that Acting Sub-lieutenant
. The SEC therefore filed criminal complaint against them with the DSI for further legal proceedings.In any case, filing a criminal complaint commences the criminal justice administration whereby the
Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale
Thailand (SET), the SEC?s further investigation has revealed that during 28 August 2012 ? 30 October 2012, TIP?s executive, major shareholder and related persons used nonpublic information that would affect
Department of Special Investigation (DSI) for further legal proceedings.Their actions were in contravention of the first paragraph of Section 281/2 in conjunction with Section 89/7 of the Securities and
company.This case was a referral from the Stock Exchange of Thailand and auditor?s opinion. The SEC?s further investigation found reasonable evidence indicating that the acts of Amnat, Shine and Kittichai were
inside information to buy the company's shares. He was subject to a civil penalty of 500,000 baht, as a resultFollowing a referral from the Stock Exchange of Thailand (SET), the SEC conducted further
duties honestly and seeking unlawful benefits from derivatives investment based on non-public information.Following the SET's referral, the SEC conducted a further investigation and found that {A}, then a
Section 83 of the Penal Code. Both persons, however, failed to pay the fines. The SEC therefore filed the criminal complaint against them with the DSI for further criminal proceedings. Also named in the
includes units of property fund and instruments with commodities as underlying, providing further that the aggregated investment in the said assets shall not exceed 15 percent of the fund?s NAV; (5