committed the several distinct and different offences, the Court inflicted the punishment prescribed for each offence as follows: (1) for 18 counts of dishonest and failure to discharge his duty as director
: Principle 1: Institutional investors should adopt a clear written investment governance policy suitable for their business nature, including measures and procedures for clear duty performance at all levels
issue for further consider? said Mr. Thirachai. ---------------------------------------- *Related juristic person refers to (i) a juristic person that is a shareholder of the person with duty to file
clients ? dishonestly used the information regarding clients? trading orders he had accessed by virtue of his duty and ran a fraudulent scheme whereby the orders of UBS?s clients would match with those of
กรรมการอิสระซึ่งสามารถดูแล ตรวจสอบ และถ่วงดุลการบริหารความเสี่ยงและการควบคุมภายในได้ ในสัดส่วนที่เหมาะสม ทั้งนี้ เพื่อให้การประกอบธุรกิจเป็นไปเยี่ยงผู้ประกอบวิชาชีพในลักษณะเดียวกันจะพึงกระทำ (fiduciary duty
appointment of fund supervisor and in compliance with the Securities and Exchange Act B.E. 2535 (1992) as well as the duty to preserve the benefits of all unitholders. In addition, in the event of change of
continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the followings task at least once each year: (1) Testing and reviewing of the business
the followings task at least once each year: (1) Testing and reviewing of the business continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation
followings task at least once each year: (1) Testing and reviewing of the business continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by
). However, such exemption shall apply to only one applicant for each management company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant