seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
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...
it is carried out in accordance with the rules prescribed under the law. The management company should also adequately disclose the related facts to client when requesting for consent to execute a
begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less
2016.In any case, investors should not disclose their usernames and passwords for investment consultants to execute trading orders on their behalf. Similarly, investment consultants must not seek
for intermediaries or their employees to use advance information on clients? trading orders of securities or derivatives to execute their own orders before clients? (front running), or disclose such
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
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