IC ในส่วนของการกระทำอันไม่เป็นธรรมเกี่ยวกับการซื้อขายหลักทรัพย์ หรือเรียกว่า Market Misconduct ตัวอย่างการทำหน้าที่ของผู้แนะนำการลงทุนที่อาจเข้าข่ายความผิด Market Misconduct ศึกษา พ.ร.บ. หลักทรัพย์ฯและ
system which can prevent any misconduct that may cause damage to clients or securities holders and such system shall at least cover the following matters: (a) separation of operational units and
{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection
Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex
decisions on the clients? behalf were misconduct while Monta?s action was failure to perform her duty in compliance with the company?s rules*. The SEC, therefore, sanctioned the said four persons by
were submitted for a certain period of time. The actions of {A}, {B} and {C} that made trading decisions on the clients? behalf were misconduct while {D}'s action was failure to perform her duty in
misconduct in violation of Section 170 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) was dishonest duty performance that caused damage to the company or created a benefit for himself, as specified
the data of listed companies with at least 30 percent woman directors on the board (as of 31 December 2022) without any record of misconduct under the Securities and Exchange Act in the past year
any transaction not their own, or risk being exploited for an offense without their knowledge or subject to litigation in connection with an investment consultant?s misconduct