damage at the amount of 20,000 baht. SEC has considered that Sorrapon failed to perform duties with loyalty* by committing wrongful acts against the investor’s asset, which was deemed a prohibited
bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions
, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.* In
Following the investor’s complaint and SEC’s further investigation, it was found that Somchai had committed wrongful acts against the investor’s assets. In so doing, he withdrew money from the
misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed
of Carnival Magic No. 1/2018 on January 31, 2018 has ratified the agreement with Cherchaiwon which is considered related party transaction and stakeholder’s directors and related person are refrained
agreement with Cherchaiwon which is considered related party transaction and stakeholder’s directors and related person are refrained from voting. 7. Opinion of Board of Directors regarding related party
Bangkok, November 19, 2014 - The SEC organized ?5th SEC Working Papers Forum?, presented two research papers addressing ?Behavioral Finance and Regulations Who won and Who lost?? The studies found that rationale is not the only factor influencing investment decision making while the regulator should put in place proper regulations to protect investors and provide appropriate investment alternatives.Dr. Vorapol Socatiyanurak, SEC Secretary-General said that the 5th SEC Working Papers Forum, organ...
seeking approval for the allocation and offering of the Company’s newly issued ordinary shares at the Shareholder’s Meeting the Company must obtain an approval from the an approval from the Office of the
ordinary shares at the Shareholder’s Meeting the Company must obtain an approval from the an approval from the Office of the Securities and Exchange Commission (“SEC”) to offer the newly issued ordinary