, the SEC shall file a criminal complaint with the inquiry official of the Department of Special Investigation (DSI) or the Economic Crime Investigation Division (ECID) of the Royal Thai Police, depending
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
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
investigation, Sakkarin was found to have acted in the following manners: (1) Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio
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
การตรวจสอบความมั่นคงปลอดภัยของระบบ และการตรวจสอบพิสูจน์พยานหลักฐานทางดิจิทัล (digital forensic investigation) ในกรณีที่มีเหตุการณ์ที่ส่งผลกระทบต่อความมั่นคงปลอดภัยของระบบที่เกี่ยวข้องกับการเก็บรักษา
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
revealed such wrongdoings, a criminal complaint was filed with the Department of Special Investigation (DSI) against Ratchasak on December 30, 2010. The DSI then proceeded the case and collaborated with the
(RegTech) ประกอบด้วยการสร้างฐานข้อมูลเพื่อการตรวจสอบ (data-driven investigation) และระบบงานดิจิตอล (digital regulator)5) รับมือภัยคุกคามทางไซเบอร์ ด้วยมาตรฐานตลาดทุน (market-wide standards) และการซ้อมแผน
investment consultant, the SEC received complaints from several clients of Bualuang Securities Public Company Limited and conducted further investigation which revealed that {A}, a capital market investment