) whereby necessary and sufficient information for decision-making for shareholders must be provided in order to facilitate the shareholders who cannot attend meetings to be able to vote according to their
monitoring the business operations and for a proper investment making-decision in a reasonable period of time. In addition, SEC has issued a guideline on information disclosure for listed companies
and exercise their voting right to protect their own interest as well as seek clarification from the company’s executives to gather complete information for decision making. In any case, due to the
not lose the money if making investment decision on the advice. Furthermore, {A} failed to immediately submit orders to close out derivatives positions as directed by the client, causing the client to
financial advisor to provide investors, in advance, with complete information and thus enable their prudence decision-making. The SEC therefore notified ADAM board of directors to provide clarification on the
financial advisor to provide investors, in advance, with complete information and thus enable their prudence decision-making. The SEC therefore notified ADAM board of directors to provide clarification on the
. Por. 5964/2562. On 22 December 2020, the Appeal Court rendered the judgement,* opposing the Civil Court’s decision. In this regard, the defendant is required to pay civil penalty twice the amount of
to investors for the benefit of investment-decision making through the annual registration statement (Form 56-1 One Report), which will become effective in 2022. SEC Secretary-General Ruenvadee
already submitted where a number of transactions had no details of either amount or price of securities. From the record, in addition, the client sometimes allowed him to make trading decision and the
decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of