seek unfair personal gains all over again. In addition, some of the investment consultants sent selling orders of investment units in the clients' accounts by counterfeiting unit sale documents, opening
/Documents/ActandRoyalEnactment/Act/act-derivatives2546-codified.pdf)(1) มาตรา 22 บัญญัติว่า ผู้ประกอบธุรกิจสัญญาซื้อขายล่วงหน้าจะประกอบธุรกิจอื่นใดมิได้ เว้นแต่จะได้รับความเห็นชอบจากสำนักงานเมื่อสำนักงานได้
statement indicating that the client had signed the documents to open the securities trading account in witness of an investment consultant. Nonetheless, {B} admitted that she was the one who processed such
and the joint commission of, or consent to, the making of false entries in the accounting records and documents of STARK and its subsidiaries. The SEC therefore considered that the actions of Mr
. 2535 (1992), the SEC has instructed FVC to clarify the facts, together with relevant supporting documents, and to submit such information to the SEC by 28 April 2026, as well as to publicly disclose
applicant has submitted the following documents to the SEC Office: (a) a copy of a notice calling a shareholders’ meeting; (b) a copy of a shareholders’ meeting resolution. Provisions in sub clause (2), (3
receipts has not been determined in the prospectus (for example, the offer price is stated as a price range or calculation formula), the approved person shall disseminate or deliver, by any means, documents
contacted for negotiation but there was no any conclusion. On January 25, 2017, the Legal Department sent out the second letter of payment request and prepared a set of documents to lawyer for prosecution if
information in the offering documents nor guarantees the price or the return of the fund”. Clause 16. The securities company shall have statements or warnings under Clause 15 or any other warnings presented
name)….. on …(date)… does not mean the SEC or the Office certifies the completeness or the correctness of the information in the offering documents nor guarantees the price or the return of the fund