partial preferred share subscription waiver in Rabbit Care Company Limited by the Subsidiary 03/03/2022 09:50 Acquisition of newly issued ordinary shares in NINE by the subsidiary, entering into License to

information and listed company executives? duty performance without due care, resulting in the total 31-million-baht civil penalty and the total 19.6-million-baht compensation for the equal amount of benefits

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