Kanjanopas) in trading shares of Karat Sanitaryware Plc. ("KARAT") through her own account by using inside information. Such information was obtained by Apichart while performing duty as a chief legal counsel
relaxing the requirements, respectively.REITs regulations will be relaxed to allow the commercial banks performing a function of REIT trustees to participate in REITs related businesses, providing that a
with international standards in performing their role of information disclosure to facilitate investors? investment decisions. SEC Secretary-General Vorapol Socatiyanurak said in the first-quarter
Perform Duty of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from performing duties of investment consultant for six months. Taking into
client in an unprofessional manner.The actions of {C}, {D}, {F}, and {G} were deemed performing duties beyond the scope of employment, taking advantage of client by virtue of duties, and using client
operating fund supervisor business, at least the followings, are or will be at the ready: (a) Systems for separating mutual funds’ assets from those of the fund supervisor’s, for attending and safekeeping of
irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least
sale of newly issued securities; (2) an issuing company which has the duty to prepare and submit financial statements and reports on its financial position and operating results to the SEC Office; (3) an
Exchange Act B.E. 2535 (1992) and the Notifications of the Capital Market Supervisory Board regarding Offering for Sale of Shares of Foreign Companies and Disclosure of Financial Position and Operating