for investigation. Given such circumstances and the fact that criminal procedure takes a long time, it has been difficult to bring a market misconduct offender to justice.?The approved amendments

Exchange of Thailand (SET) and the SEC?s further investigation, it was found that on 20 January 2014 Rapi, then managing director and major shareholder of RASA, reported to the SET that the company neither

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

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

) 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

the financial condition and the operating results to ensure that the potential issuer have a strong financial background;  (2) Revising the criteria for backdoor listing and trading resumption to ensure

shareholding structure prior to public disclosure of such information. Mr. Pichai believed that the SEC investigation, if taken, will find that the group of persons gained huge amount of profit not possible to

} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A