operations of JKN at the time of the incident. He failed to issue orders or take actions that were his duty to perform in the case where JKN, as a listed company, was obligated to disclose documents or
Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
receivership on 3 August 2017. Such material facts were subject to public disclosure within a reasonable timeframe after the issuing date of the Court's order of receivership; however, POLAR did not disclose
company's shares, had prepared and submitted incomplete and inaccurate information. The said information was material for identifying the persons who had taken benefits from having access to or learning of
cost and revenue. The information material to investment decision such as key risks and progress of projects was therefore deficient.Their actions were considered as failure to comply with the SEC Office
failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment
company?s business which was deemed as material information for investors? decision-making. He also failed to review the information on compensation paid to two directors of issuing company, resulting in
the fact that major shareholders and executives were to sell SLC shares with the intention to mislead any person concerning such information which was material to the SLC share price, even though he had