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
more.About SECThe Securities and Exchange Commission, Thailand (SEC) is a state agency established by virtue of the Securities and Exchange Act B.E. 2535 (1992), with the main duties to promote, develop and
proper, and efficient operational systems and personnel to provide continuous services for the best interest of their clients, whereby the business operators’ personnel can perform their duties properly
-disclosure of material facts that could influence investment decisions, failure of directors or executives of listed companies to perform fiduciary duties and using or allowing other persons to use a nominee