Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...
คณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จึงปรับปรุงหลักเกณฑ์ที่เกี่ยวข้อง เพื่อรองรับกับมาตรการดังกล่าว โดยขยายขอบเขตการลงทุนของกองทุน Thai ESG เน้นบทบาท บลจ. ในการใช้ fiduciary duty เพื่อ
to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that Zipmex has been failing to report a summary of the assignment of other persons to perform
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
payment of subscribed shares as the consideration of the assignment of participation interests in Draugen Field and Gjøa Field in Norway to pay to Shell in accordance with the agreements regarding the
the recognition of lease right assignment fee albeit a drop in room revenue from lower room inventory due to room renovations of Dusit Thani Laguna Phuket, Dusit Thani Pattaya and Dusit Thani Manila
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
better understanding of climate risks so that they can combine their knowledge and relevant available information to enhance their capability to deal with climate change; (2) to make asset management