obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to
consultants are not allowed to make investment decisions for investors, no matter if the investors give a consent or not, and they have to perform professional duties with loyalty and integrity at all times
their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his
of the Department of Special Investigation, the Governor of the Bank of Thailand and the Secretary-General of the SEC. With consent of the Civil Penalty Committee to commence the civil penalty
and the joint commission of, or consent to, the making of false entries in the accounting records and documents of STARK and its subsidiaries. The SEC therefore considered that the actions of Mr
สารสนเทศข่าว มติ BOD 5-60 20171204En No. NDR013/2017 Subject Resolution of the Board of Directors’ Meeting To President The Stock Exchange of Thailand Enclosure 1. Information Memorandum on the Acquisition of Assets and the Connected Transaction 2. Information Memorandum regarding the offering of the newly issued ordinary shares to specific investors (Private Placement) 3. Capital Increase Report Form (F53 N.D. Rubber Public Company Limited (“ No.5/2017 held on November 26, 2017 which has the ma...
and general investors under the duties and responsibilities assigned by the Board of Directors. - Performance of other activities as assigned by the Board of Directors with the consent of the Audit
provider should not be allowed to access and disclose the intermediary’s information without consent, unless the intermediary is informed and gives a consent to do so, or such access and disclosure are made