amount of 179.6 million baht for his own benefit, causing damage to the company. He was also found forging documents related to NIPPON?s securities investments to deceive others regarding the company?s
proper investment management are concerned. To account for these concerns, international organizations and leading countries have laid out their own I Code. Furthermore, I Code is now one of the criteria
investor contacts were in violation of Clause 14(2) of the SEC Notification No. SorKhor 49/2009 Re: Approval for Investor Contacts, which stated that investor contact shall let investors make their own
carefully study the information, exercise their rights to protect their own benefits, and seek clarification or explanation from the company directors and executives so as to have sufficient information for
. Investment consultant's scope of duty is to contact and provide investors with investment advice or planning while investors are responsible to make their own investment decision. The SEC therefore urges all
of things to do for others without making their own involvement and contribution. The anti-corruption progress indicator will definitely help identify progress and constructive ways to elevate listed
) using part of such funds to repurchase investment units for Client 1, and (3.2) transferring the remaining amount into her own bank account for personal use.In carrying out the above misconduct, Miss
seeking an approval to act as a mutual fund manager shall not possess any of the following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an
company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant seeking an approval to act as a mutual fund manager shall not possess any of the