received or should have been received, reimbursement of investigative expenses incurred by the SEC, suspension of trading in securities or derivatives contracts, and bar from serving as a director or
Sanction Committee has decided to impose civil sanctions** on the three offenders through the imposition of civil penalty, compensation at an equal amount to the benefit received or should have been received
been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC
have been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC
clients' assets. In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the
SEC has proposed additional risk management tools that asset management companies are able to select and use when dealing with events or factors causing investors to panic-sell or redeem their
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SEC Search Search From : Home > Search > Search Results search: Public Information System SEC_News ( 2 ) Documents Adobe PDF ( 8 ) http://172.19.1.196:8983/solr/secweb/select?q=digital real estate OR
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