consent to the sanctions, the SEC will submit the cases in writing to the public prosecutor for filing a lawsuit in the Civil Court to seek the maximum applicable civil sanctions, which must not be lower
default under the terms and conditions in cases where the bond issuer revises the debt repayment conditions and/or engages in debt restructuring negotiations with financial institutions or other creditors
) Granting a waiver from an event of default under the terms and conditions in cases where the bond issuer revises the debt repayment conditions and/or engages in debt restructuring negotiations with financial
under Royal Patronage to help lawyers sharpen their capability about class action in capital market cases so that they will be able to deliver justice for investors who were wronged by persons that went
. In a number of cases, the clients authorized the investment consultants to make trading decisions on their behalf. Usually, those clients did not have enough time or viewed that the investment
examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for
trust for transactions in the capital market. Clause 4 This Notification shall not apply in cases where there are other notifications of the SEC Office regarding approval of auditors for any specific
follows: (1) in cases where a securities company appoints a new person as director or manager, or in other cases than (2), the securities company shall submit to the SEC Office the following documents which
from those held in its own capacity and any property in its possession . In cases where the trustee manages several trusts, the trustee shall segregate the trust property of one trust from https