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...
Re: Application Form for Permission for Offer for Sale of Newly Issued Debt Securities and Reporting (No.2)
, focuses on the additional objective of the CMDF establishment ? permission for the CMDF to give financial support for the SET as deemed necessary to ensure the bourse's ability to maintain its
Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I
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
, unless permission has been granted by the Office to open or close its office at any other hours or days.
to trade securities in the client?s account on the client?s behalf without having to give prior notice. Despite the client?s cancellation of such authorization afterward, Pracha continued trading
trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading