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...
minor shall obtain a consent from the rightful representative before executing any legal acts and any acts executed by a minor without such consent shall be voidable unless regulated otherwise, etc
such client?s assets were transferred to other persons? accounts without consent, causing damage to the client. The SEC has, therefore, delegated the ASCO to develop practice guidelines for securities
of Derivatives Business Operators dated 3 August 2009 stipulate that the appointment or consent to have any person become or act as a director, manager or person with power of management of derivatives
evidence: (1) certification letter and consent letter of the audit firm to which the applicant is attached which certifies and gives consent in the following matters, as per Form 61-2 which is available on
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
yet started saving money for their retirement. Furthermore, financial behavior survey indicated ?5 Lacks? as follows: (1) Lack discipline to track spending that caused the household debt rose to 83% of
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