Securities company shall supervise service provider to perform its operation in compliance with rules prescribed by the Securities and Exchange Commission or the Office and the guidelines provided by
as requested. Clause 9. In compliance with Securities company shall supervise service provider to perform its operation in compliance with rules prescribed by the Securities and Exchange Commission or
to perform any disclosure under the obligation of such Notification 1.2.2 The above-mentioned asset acquisition is not classified as connected transaction under Notification of the Capital Market
perform duties with responsibility and prudence as a professional under the relevant Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the following sentences
, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records. The nine offenders are: (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director
consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset, (3) use of the client's trading account to trade
was no evidence that the client had ordered the responsible investment consultant to do so. Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct
quarter of 2018 continued to improve. Export performance remained strong, with 12.3 percent year-on-year expansion. Tourism also continued to perform well despite the end of the high season, as tourist
(1) to (4) called by other names; (6) member of a committee which is appointed or assigned by an intermediary to perform duties relating to operational function, compliance function, internal audit or