be responsible and perform duties with prudence and care in compliance with laws, rules and regulations. The SEC therefore put Weerawat on probation by accumulating three demerit points on his record

every account had never been used to trade KARAT shares prior to Apichart?s holding a position of legal counsel for this business deal. The record showed that trading of KARAT shares through those

worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

for public offerings. The issuers must prepare financial statements in accordance with financial reporting standards while having no record of failure to file with the SEC their financial statements or

derivatives trading orders to make up the record of receiving those orders.  In addition, Napat had been authorized by a client to make securities trading decisions and he confirmed the trading transactions to

affect the value of the asset. Moreover, the economy is generally in recession and there is no clear record of the existing debtor?s past repayment, causing a negative impact on the repayment ratio. And in

wrongdoing.In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012, the first and third quarters of 2013, and the year 2013 in order to

disclosed Nongun ' s inappropriate behaviors in performing duties as an investment consultant and keeps such demerit record for future reference if a breach of duty is repeated.

consultant and keeps such demerit record for future reference if a breach of duty is repeated.

ถือหน่วยลงทุนที่มีสิทธิออกเสียงลงคะแนน (record date) เดิมได้ก็ต่อเมื่อวันดังกล่าวเป็นวันที่ล่วงหน้าก่อนลงมติในการประชุมเดิมไม่เกิน 2 เดือน  2. กรณีมีการเพิ่มเติมวาระที่เกี่ยวเนื่องกับ