her employement and had her pay compensation to the inflicted client in full.Panita and Nitchawan have failed to perform their duties or provide services honestly. Their misconducts were deemed wrongful
consultant. Institutional investors should ensure that the third parties perform the assigned functions in accordance with the investment governance policy.2. The I Code comprises seven principles as follows
Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended
Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which
warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance
consult the auditor before conducting review in depth. Nonetheless, there was no indication that the audit committee failed to perform the duties to assist the wrongdoing of TUCC executives. The SEC
November 8, 2014. *Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2012 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and
, Ministry of Commerce, and have power to undertake any necessary actions in compliance with the instruction the registrar in order to duly complete the registration Details of the increase in the Company’s
equivalent to approximately Baht 3,522.00 million. Prior to the completion of the Company’s investment, SGAH is required to complete an internal group restructuring. After such restructuring, SGAH Group will