who conspired to manipulate the ABC price (as detailed in SEC News No. 59/2018, dated 7 June 2018). Of this group, one offender has already signed a statement of consent and fully paid his civil penalty
Bangkok, 5 January 2018 ? The SEC has filed a criminal complaint against four former and current executives of K.C. Property Public Company Limited (KC) and three associates with the Department of Special Investigation (DSI) for jointly committing dishonest acts to misappropriate the money received from the sale of KC short-term bills of exchange (B/E) for their own interest or other persons?. The case also involves seeking unlawful gains and consenting to the omission of the B/E transaction rec...
Approval of Appraisal Company and Lead Appraiser Contributing [Asset Evaluation] for Capital Market Transaction
letter of consent. However, the company failed to fully make the required payment accordingly. The SEC has therefore submitted a request to the public prosecutor to file a petition with the Civil Court
company. - Review the company’s compliance with private sector’s anti-corruption and certification programmes, including the Collective Action Coalition Against Corruption’s Self-Evaluation Tool. - Issue an
written consent from clients for the appointment of members as derivatives trading agent whereby the clients agree to [i] inform and provide members with information that allows unique identification of the
, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio investments and transactions. The revised regulations will be effective as from April 1, 2014 (for details of the