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...
provision of services by the Stock Exchange of Thailand and a securities trading center not participating in the regulatory sandbox , and that the service user’s consent is required prior to provision of such
conditions different from the provision of services by the Stock Exchange of Thailand and a securities trading center not participating in the regulatory sandbox, and that the service user’s consent is
operator in the same manner not participating in the regulatory sandbox , and that the service user’s consent is required prior to provision of services; (4) making an agreement with the service user related
participating in the regulatory sandbox, and that the service user’s consent is required prior to provision of services; (4) making an agreement with the service user related to obligations to damage that may be
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
system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure
loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure where the business operator is acting
transparent allocation procedure where the business operator is acting for several lenders who are ready to lend the same securities at the same time. Clause 8. In the case where the business operator is the