clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the
draft prospectus for initial public offering of shares. The SEC's probe found that {X1} Company and {A} did not exercise due care in verifying relationships between the applicant and a company in the case
and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
with responsibility, due care and loyalty. As a result, the Civil Sanction Committee ordered {A} to pay a civil fine, compensate the SEC for any expenses incurred from investigating the offence, and
investors. This is because institutional investors have the capacity to take care of themselves. However, the definitions of “institutional investor”* have been revised in accordance with the resolution of
to perform duties responsibly with professional due care in violation of the Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the administrative sanction whereby her
by providing their trading accounts to be used. In addition, {B} also helped place trading orders while {C} and {D} took care of the withdrawal of cash collateral or payment for trading of RICH shares
DEVELOPMENT AND MANAGEMENT PCL. Filing FinancialStatement 56-1 56-2 Ranking EKH EKACHAI MEDICAL CARE PUBLIC COMPANY LIMITED Filing FinancialStatement 56-1 56-2 Ranking EGCO ELECTRICITY GENERATING PUBLIC COMPANY
ข้อมูล Cookie Care and Share