perform duties or provide services with loyalty by committing wrongdoing against investor assets. Both cases constitute prohibited characteristics for personnel in the capital market business under the
Bangkok, 27 June 2024 – The Securities and Exchange Commission (SEC) would like to inform the public that the asset attachment order imposed on Mr. Chanin Yensudchai, former director of Stark
directors and executives who were his close associates.Mr. Perajed Suwannapasri’s actions constituted a failure to perform his duties with responsibility, prudence, and integrity, causing damage to GIFT or
According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017; (2) managing private funds without taking the cli...
Practical Guidelines on Disclosure of Information for Sustainable and Responsible Investing Funds (Attachment to Practical Guidelines No. Nor.Por. 2/2565)
Rules on Application for Obtaining Approval and Granting to Perform Trust Business
the liquidator's website, as well as deposit assets at the Deposit of Property Office, if applicable. 3) The liquidator may delegate certain tasks that they are unable to perform to
system ready for keeping assets into its custody; □ (3.8) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian
its custody; □ (3.8) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; □ (3.9) System to ensure that the
Extraordinary General Meeting of Shareholders No. 1/2020, which is scheduled to be held on 25 February 2020, and seek approval for any person(s) assigned by the Board of Directors to have the authority to perform