: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009. The SEC considered the said persons? misconduct as severe wrongdoing and deemed unfit to perform the duty as investor contact
-public information obtained while performing duty as {X1} advisor and president. With the referral from the Stock Exchange of Thailand, the SEC's probe found that on May 7, 2010 {A}, as the authorized
Supervisory Board concerning personnel in the capital market*, the SEC therefore disclosed inappropriate behavior of {A} for failure to completely record client's trading orders and suspended him from the duty
duty as the approved capital market investment consultant for 9 months. Owing to the fact that the approval period remains until December 31, 2015, the approval shall be suspended until the lapse of such
market.? Hence, we take all factors, such as growth, market development, social changes and disruptive technologies, into account in discharging such duty. These changes inevitably affect the way funds are
capital market*, the SEC therefore suspended {A} from his duty as the approved securities investment consultant for one year and six months. Having considered that {A} had already been suspended by his
orders without client authorization are deemed interference with clients assets and unprofessional duty performance without clients best interest in mind. Such misconducts may cause damage to clients and
(fiduciary duty) ในการพิจารณาออกและเสนอขาย warrant โดยคำนึงถึงประโยชน์สูงสุดของบริษัทและผู้ถือหุ้นเป็นสำคัญ รวมทั้งเปิดเผยข้อมูลเกี่ยวกับลักษณะของ warrant และเงื่อนไขการใช้สิทธิให้ชัดเจน เช่น ราคาเสนอขาย อายุ
fiduciary duty (ข้อ 7 แห่งประกาศ ทธ.35/2556) และเป็นการรักษาผลประโยชน์ของผู้ถือหน่วยลงทุนโดยรวมอย่างแท้จริงแล้ว ดังนั้น เพื่อหลีกเลี่ยงกรณีดังกล่าว บลจ. จึงควรขอมติจากผู้ถือหน่วยลงทุนเพื่อเลิกกองทุนรวม
notifications; and Notification of The Stock Exchange of Thailand RE: “Information Disclosure and Practice of Listed Companies in Acquisition or Disposal of Asset B.E. 2547”. The Company, therefore, obtains duty