consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset, (3) use of the client's trading account to trade
was no evidence that the client had ordered the responsible investment consultant to do so. Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct
above with the DSI for further legal proceedings. In this regard, since the offenses relating to unfair securities and derivatives trading practices also constitute a predicate offense under the Anti
within the deadline, Zipmex must deposit the unclaimed assets in a trusted and secure system within 30 days from the end date of the 15-day deadline. Additionally, Zipmex must report its proceedings
justice, respectively. In this regard, the SEC will monitor progresses in the legal proceedings and will cooperate fully with relevant agencies to support legal enforcement under the Emergency Decree
the bond representative the right to file legal proceedings against the bond issuer without convening a bondholders’ meeting in the event of default and on the condition that the bond representative has
Court’s judgment, the SEC will proceed with legal execution according to legal proceedings.” ________________________
and digital assets. If a violation of law is found, further legal proceedings will follow,” added SEC Secretary-General Rapee. -----------------------------
merely the commencement of the criminal justice proceedings. The process of determining whether a person has committed a legal offense involves the investigative powers of the inquiry officer, the decision
Unyakowit), who was then an IEC executive. Any person named in a criminal complaint filed by the SEC Office and under legal proceedings due to dishonest management of assets is deemed lacking trustworthy