continual basis from 2015 to 2017; (2) managing private funds without taking the clients’ best interest into consideration. In so doing, he arranged for the clients to invest in a foreign fund
solicitation or providing services for clients, information disclosure, advisory service, information or report filing with the SEC, prevention and management of conflicts of interest, and services provided by
repayments will be made within one year from the original maturity dates, and the remaining principals will be repaid on the extended maturity dates; (3) Approving partial interest payments at
to enforce compliance in accordance with the letter of consent, seeking payment of the civil sanctions together with interest under Section 317/7 of the Securities and Exchange Act B.E. 2535 (1992
. Her action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation of Section 89/7 of the SEA. This case is under
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
ประโยชน์ขัดแย้ง (Conflict of Interest) กับผู้ออกหุ้นกู้ กล่าวคือ BBL มีการถือหุ้นในผู้ออกหุ้นกู้ เกินกว่าร้อยละ 5 ของสิทธิออกเสียงทั้งหมดของกิจการของผู้ออกหุ้นกู้ ผ่านบริษัทที่มีกรรมการเป็นบุคคลเดียวกันกับ
interest of 2.08 percent per annum to a connected person of the Company, Jasmine International Public Company Limited (“JAS”), a Company shareholder, having the total direct and indirect shareholding of