authorized director, causing the company to suffer losses. His action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation

misappropriation of the money received from the sale of KC short-term bills of exchange (B/E) for his own interest or other persons’ but did not perform his duties responsibly and honestly, and failed to have the B

misappropriation of the money received from the sale of KC short-term bills of exchange (B/E) for his own interest or other persons’ but did not perform his duties responsibly and honestly, and failed to have the B

ประโยชน์ขัดแย้ง (Conflict of Interest) กับผู้ออกหุ้นกู้ กล่าวคือ BBL มีการถือหุ้นในผู้ออกหุ้นกู้ เกินกว่าร้อยละ 5 ของสิทธิออกเสียงทั้งหมดของกิจการของผู้ออกหุ้นกู้ ผ่านบริษัทที่มีกรรมการเป็นบุคคลเดียวกันกับ

for a license without the need to apply for a new license when expanding their business operations;   (2) To revise the licensing fee structure to charge fees based on the specific services a business

trustees shall be made in accordance with the rules and regulations specified by SEC and that trustees are permitted to charge for expenses incurred in making copies of documents as required by the SEC

asset management companies in charge, and to update their fund books (if any) regularly to prevent possible damage from frauds. ______________________  * Clause 23

case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents

Clinic through Help Center Hotline 1207 (press 4), or make an appointment with SEC official, free of charge.  _____________________________

customer’s decision-making and providing appropriate information; and 5) charge of service fees, which, regardless of how they are determined, must be informed to the customer prior to the service