must not have untrustworthy characteristics and must perform fiduciary duty; 4. Shares must be sold through an intermediary that is responsible for conducting know-your-customer screening
companies must consider. It is in accordance with the duties of directors and executives of the company who have to perform their fiduciary duty with caution together with the company’s risk management
, which Sakkarin confirmed that it could be done, but no money from the sale order was deposited into the client's bank account.Sakkarin's aforesaid misconduct was a failure to perform duty honestly by
mutual fund management: Asset management company (AMC) shall have fiduciary duty to protect the interest of unitholders. In so doing, AMC shall lay out a policy for preventing and monitoring any act that
draft prospectus with the SEC, and such offering must be carried out through the ICO Portal which have been approved by the SEC Board. Subsequently, the issuers have an ongoing duty to prepare and submit
recognized by the SEC Board. Subsequently, the issuers have an ongoing duty to prepare and submit reports to the SEC Office with regard to their financial condition, business operation or any other information
: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009. The SEC considered the said persons? misconduct as severe wrongdoing and deemed unfit to perform the duty as investor contact
-public information obtained while performing duty as {X1} advisor and president. With the referral from the Stock Exchange of Thailand, the SEC's probe found that on May 7, 2010 {A}, as the authorized
Supervisory Board concerning personnel in the capital market*, the SEC therefore disclosed inappropriate behavior of {A} for failure to completely record client's trading orders and suspended him from the duty
duty as the approved capital market investment consultant for 9 months. Owing to the fact that the approval period remains until December 31, 2015, the approval shall be suspended until the lapse of such