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...
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
The meeting discussed significant and challenging issues such as harmful, but legal conduct. In this regard, the SEC Secretary-General shared her view on the importance of information disclosure
The meeting discussed important developments and course of actions in overseeing and developing the capital markets of member jurisdictions. For instances, issues around harmful but legal conduct
offence against the law on securities and exchange or any act deemed to be an offence related to assets or any act harmful to the economy or the national security, and shall not conceal, or be involved in
ที่ประชุมได้หารือในประเด็นที่มีความสำคัญและมีความท้าทาย อาทิ การกำกับดูแลพฤติกรรมที่เป็นภัยต่อผู้ลงทุนแต่ยังไม่ถึงระดับที่ผิดกฎหมาย (harmful, but legal conduct) โดยในเรื่องนี้เลขาธิการ ก.ล.ต. ได้ร่วม
14 October 2009. Chalerm?s manipulative arrangements were systematically planned and intended to conceal the facts from the clients, which was harmful to multiple clients and caused them great damages
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of