. Besides, the persons named in the criminal complaint filed by the SEC are deemed as having untrustworthy characteristics of director and executive of a publicly held company. This caused the termination of
provide securities trading service to the account owner or submit trading orders of the written authorized persons action were deemed failure to perform duties which were in violation of the Notification of
February 2014 before the information became publicly known on 28 February 2014. Such action was deemed taking an unfair advantage of other people.Chai?s misconduct was in violation of Section 241 and liable
juristic persons, listed companies may use their discretion in summoning ID documents, as deemed necessary. In any case, a valid period of such ducuments should at least be in a range of six months or one
Secretary-General said that ?In conducting an asset management business responsible for managing the money of investors and the general public, public trust is deemed vital for the business to succeed or
instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining
offering of newly issued securities during 2011. His actions were deemed as failure to comply with the auditing standards and the Notification of the Office of the Securities and Exchange Commission No
, Mr. Somchit is deemed as having untrustworthy characteristics of a publicly held company director and executive on the grounds that the SEC filed the criminal complaint against him for his alleged
failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause