Roojai Company Limited Roojai Company Limited ("ROOJAI") had a duty to prepare and submit the key financial ratio for the year 2021 within 30 June 2022. However, ROOJAI prepared and
Phuket Fantasea Public Company Limited Phuket Fantasea Public Company Limited (“PHUKET”) had a duty to prepare and submit the financial statement for the year 2021 within 31 March 2022. However
(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee
Tapaco Public Company Limited Tapaco Public Company Limited (“TAPACO”) had a duty to prepare and submit the financial statement for the year 2022 within 3 January 2023. However, TAPACO prepared and
• Key contribution: Only one other laboratories. Not all financial institutions can capture regulators. Regulator roles different. IMPORTANCE OF INVESTMENT ADVISERS IN USA FIDUCIARY DUTY • In USA
transfer was prearranged, starting from Auracha's opening a trading account for her mother without declaring their relationship to the company and arranging for the transfer even though it was not her duty
the company and arranging for the transfer even though it was not her duty to do so and she was not the investment consultant in charge of such client?s account. Auracha later arranged for AEC back
Appendix 2: National regulations Information on the laws and regulations relevant to performance of duty as Recognised Representative in each Host Jurisdiction 14 3 1. Introduction 1.1 Background Mobility of
the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities, whether or not investment in other assets is also made, which
DERIVATIVES TRADING SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning derivatives (contract), derivatives business