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, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
2016. Investment consultants must not abuse their duties to seek unfair benefits from investors no matter with or without clients? consent. In any case, the SEC takes strict action against all offenses
Thai investment การใช้คุกกี้ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์ และอาจใช้คุกกี้ชนิดจดจำข้อมูลซึ่งคุณสามารถเลือกเปิด
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...
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to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time. Despite no intention to conceal information in the
therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
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their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his