incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working
behaviors could be construed as obstructive since he has made no effort to convene an urgent shareholders meeting to appoint new directors. For example, he refused to attend the board of directors’ meetings
payment out of the fund to the employee in accordance with the rules and procedures provided in the fund’s articles and as prescribed by Section 23/1, and such payment shall be made in one lump sum
complain on the company?s investor contact, Chalerm, the SEC found that Chalerm had received securities and derivatives trading orders from clients, but he had not made any of the transactions. Instead, he
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company
information about the funds? investment plans to trade securities for her personal or other persons? gains (front running). Such trading activities were made through two securities trading accounts with
?s finding that he had made audit mistakes and failed to comply with the auditing standards in performing the audit of financial statements of public limited companies applying for public offering of
decisions for them. From October 2012 to March 2013, he made trading decisions on behalf of the clients on a continuous basis with more than 300 million baht in trading value. Moreover, he traded for the
since the date of the entry of the plaint (26 December 2018) until the payment is made in full; a suspension of trading in securities on the Stock Exchange or the over-the-counter center, or derivatives
Exchange of Thailand Aapico Hitech Public Company Limited (“the Company”) hereby discloses the resolutions made at the Board of Directors’ meeting No. 98/2019, held on Tuesday, May 14, 2019 at 14:30 Hrs., at