the consideration of whether the defendant is guilty is under the DSI’s investigation, the public attorney’s prosecution, and the court’s jurisdiction, respectively.  

Globex Securities Co., Ltd., the SEC found from the investigation that {A}, a former capital market investment consultant of the company, had been authorized by her client to make securities and

Bangkok, April 11, 2013 - The SEC revoked the approval of investment consultant {A} of Finansia Syrus Securities Plc.Following client complaints, the SEC upon investigation found that {A} had agreed

SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to

Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report

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

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

Renaissance Fund Management LTD. This case is in the process of investigation by the inquiry official. SEC Act S.97 Criminal Complaint Filed with an Inquiry Official Dated 01/11/2023

Renaissance Fund Management LTD. This case is in the process of investigation by the inquiry official. SEC Act S.section 105 Criminal Complaint Filed with an Inquiry Official Dated 01/11/2023