information and listed company executives? duty performance without due care, resulting in the total 31-million-baht civil penalty and the total 19.6-million-baht compensation for the equal amount of benefits
discussion and analysis (MD&A), which gives an overview of changes to the company's finanical condition and operating results. ?The SEC's primary duty in considering an IPO filing is to ensure that the issuer
refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment
order was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved securities
trigger point to make a tender offer will be exempted from duty to make the offer if (i) within seven business days, such person reduces the portion of shares in the business to the level that is below the
., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and
and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} from her duty as an approved derivatives investment consultant for a period of one month. Taking into account that
capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved
responsible and careful duty performance. He consequently possessed prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor Lor