client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of
, said: ?Annual report and other reports such as quarterly financial statements and management discussion and analysis (MD&A) are a good source of material information on listed companies. The annual
The SEC received information from the Stock Exchange of Thailand (SET) in October 2024 and later conducted further investigation into an interview given by Mr. Boon Vanasin to a media outlet on 25 September 2024. In the interview, he stated that he and his family had never pledged or used THG shares they held as collateral for loans, either inside or outside the market, as they did not dare to do so because they were major shareholders. However, upon investigation, evidence was found indicating...
GIFT disclosed the board of directors’ resolution and information about various transactions, such as the acquisition of a subsidiary of RS and a business unit of another RS subsidiary, which will be paid for in cash and GIFT newly issued shares. RS will seek a waiver for the mandatory tender offer through the shareholders’ resolution (whitewashing) at the Extraordinary General Shareholders’ Meeting. Additionally, RS will purchase existing GIFT shares from a major shareholder by the name Mr. Sur...
venture.These disputes are material information related to ALL’s financial position and business operations, which could significantly affect the company’s business. Therefore, ALL was obligated to disclose
; Failure to audit advance accounts; and Failure to audit payroll, consulting fees, and social security contributions. As a result, Ms. Sulalit failed to detect material misstatements in the
major shareholders owing a large amount of unpaid debts, causing a significant impact on the applicant's financial statements; (3) failure to examine the disclosure of material information in the IPO
their professional competence. 2. If these individuals have a material interest in the offering or listing, other than in their official capacities, this shall be disclosed. Also disclose if anything
provide information about their professional competence. 2. If these individuals have a material interest in the offering or listing, other than in their official capacities, this shall be disclosed. Also
material to maintain its professional status, or in any aspects which would affect the overall creditworthiness as professional. Clause 3 . In soliciting investors to enter into a derivatives fund management