investment consultants 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
should not leave their fund passbooks and savings passbooks with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6552 SEC suspends three investment consultants for failing to perform duties with
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
passbooks and savings passbooks with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6552 SEC suspends three investment consultants for failing to perform duties with responsibility could influence the
/5447/1#5447 act-sea2016-no5.pdf , legal advisor, asset appraiser or any other person whose duties are related to inside information, including employees, workers or colleagues of the aforesaid persons
ได้ เฉพาะเมื่อได้ใช้ความระมัดระวังและรับผิดชอบ (fiduciary duties) พิจารณาแล้วเห็นว่า ส่วนแบ่งนั้นเหมาะสมกับบริการหรือคำแนะนำที่ผู้ลงทุนได้รับ (ตามหลัก fee for reasons) โดยมีการเปิดเผยข้อมูลอย่างเพียง
stocks in a manner that manipulated the prices of FVC storks during the aforesaid periods. This constituted dishonest performance of his duties and failure to protect the interests of the clients
appropriate penalties on wrongdoers. There must be a harmonized collaboration among market participants to enhance the quality and efficiency of duties performed by those involved in the capital market's
, ordered, acted, or omitted to order or act according to their duties, consequently causing STARK to commit an offense in the above case. They are therefore subject to the same penalties under Section 300 in