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...

service under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the

of private fund management under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary

for securities business license in the category of mutual fund management under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place

Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the applicant’s financial

of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3

Microsoft Word - thawatcp 1073.doc This English version is prepared by staff of the Legal Department with the sole purpose of facilitating the comprehension of foreign participants in rules and

178,713,420.36 31,807,149.07 1,643,024.07 2 5 Offences/Year 2023 Signed a Letter of Consent Filing a lawsuit to the Civil Court Director of Company Unfair Securities Trading Activities *This offense was committed

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