Securities and Exchange Act B.E. 2535 (1992) (SEA). The Criminal Fining Committee has therefore imposed a separate fine of 500,000 baht each on NEWS and Mr. Arak for failing to order or take action in
the client. Her actions were therefore deemed as interfering with client's assets and failing to comply with professional standards of conduct. On {B} case, the SEC received a client's complaint stating
was imposed on {B} for failing to record the clients' securities trading orders.The actions resulted in suspensions occurred while these investment consultants worked with Maybank Kim Eng Securities
Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material
includes provisions on shareholding of acting-in- concert parties and measures against persons failing to meet the conditions for tender offer waiver. Other related rules proposed for revision involve
because CGH is a listed company, Chupong has also contravened Section 89/7 by failing to perform duties responsibly and honestly, which is liable to the penalties under the second paragraph of Section 281/2
a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file the reviewed financial statements for Q1/2014 and the reviewed
account of jointly committing dishonest acts to misappropriate TRITN assets, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records, in many circumstances, as
jointly committing dishonest acts to misappropriate TRITN assets, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records, in many circumstances, as follows: 1