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
Stock Exchange of Thailand (SET) and the SEC's further investigation, Jajjai, who was then Vice President and Executive Director of MODERN, had access to the information on the operating results of a
million baht. According to the referral from the Stock Exchange of Thailand (SET) and the SEC's further investigation, Jajjai, who was then Vice President and Executive Director of MODERN, had access to
offenders paid separate civil penalties, totaling 172.14 million baht. According to the referral from the Stock Exchange of Thailand (SET) and the SEC's further investigation, during 21 March 2014 - 3 June
Foods Public Company Limited (TIPCO) using inside information known or in possession. The two offenders are required to pay a total fine of 4,970,880 baht and are prohibited from serving as directors
(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
personal benefits from the margins of the offer prices. According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to
การตรวจสอบความมั่นคงปลอดภัยของระบบ และการตรวจสอบพิสูจน์พยานหลักฐานทางดิจิทัล (digital forensic investigation) ในกรณีที่มีเหตุการณ์ที่ส่งผลกระทบต่อความมั่นคงปลอดภัยของระบบที่เกี่ยวข้องกับการเก็บรักษา