further appropriate action can be taken in time.? ______________________________ *Failure to perform duties honestly under Clause 23(1) and failure to perform duties
the fund due to economic crisis, public danger or other serious situations, they will be able to suspend or postpone their contributions for one year at a time with approval of the Minister of Finance
. ?It is a good time for asset management company to develop mutual funds with innovative investment policy in response to needs of investors who nowadays become more familiar with mutual funds. Owing to
than what the customer could tolerate.In the case of {B}, who was a securities investment consultant at Thanachart Bank Public Company Limited (TBANK) at the time of misconduct, the SEC received a
company?s documents, reports and accounts. His actions were therefore also deemed in contravention of Section 312 of the SEA. In this case, the SEC also found that the company secretary at that time
documents, reports and accounts. His actions were therefore also deemed in contravention of Section 312 of the SEA. In this case, the SEC also found that the company secretary at that time responsible for
investment consultants must be prompt to provide the said services by the next 2 years, there is time for all commercial banks to develop the staff competency. Meanwhile, the SEC asked the commercial banks to
exceeding 50,000 baht per company and not exceeding 500,000 baht during the 12 month-period. Moreover, they can cancel shares subscription at any time, except the remaining of offering period is less than 48
time, thus making the total number of 650. For more information, visit www.sec.or.th and www.cgthailand.org.
also admitted taking such trading orders via mobile phone. In addition, some of his clients' trading orders showed the concurrent price and time of the securities traded or canceled. Furthermore, the