he received together with penalties. The investigation also revealed that during the client made the request for selling of investment units, {A} was serving another client. Without making any contact
complaint filed with the Department of Special Investigation on September 9, 2014. They traded UKEM shares in concealment on a continual basis, inflated and stabilized share price, and matched orders within
SEC files criminal complaint against 11 SLC share price manipulators Bangkok, September 9, 2014 ? The SEC today filed a criminal complaint with the Department of Special Investigation (DSI) against
1207 for the SEC?s further investigation,? Sakkarin added. Previously, on December 17, 2012, Jaray was also named in the criminal complaint on the same offense for being director of unlicensed businesses
) technology in our investigation and law enforcement. Moreover, SEC views that technology can help reduce the inequality and help small entrepreneurs, especially SME, to access capital market. Importantly, we
Following the investor’s complaint and SEC’s further investigation, it was found that Somchai had committed wrongful acts against the investor’s assets. In so doing, he withdrew money from the
a criminal complaint is merely the commencement of the criminal procedure whereby the inquiry official will perform an investigation before recommending case to the public attorney who has authority
Bangkok, May 12, 2014 - The SEC today filed a criminal complaint with the Department of Special Investigation (DSI) against {A}, an executive of {X1} Plc., {B} and {C}, former executives of {X2
offence and a reimbursement of investigation expenses incurred by the SEC in a sum of 18,430,644.75 Baht together with 7.5% p.a. interest calculated from such amount since the date of the entry of the
SEC is empowered to take any of the following actions, as the case maybe: (1) Administrative Actions, (2) Criminal Actions, and (3) Civil Sanctions A flowchart of Procedure for Investigation and