or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such laws are domestic legislations or foreign legislations
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
Securities (Thailand) terminated Panita?s employment and filed a lawsuit against her and the related persons.In the case of Nitchawan, her dishonest acts against a client?s assets involved using the client?s
(3) {K}, who neglected inspection and failed to comply with the bank's internal control system, causing the suspicious issues in the dishonest acts to evade inspection. The SEC has therefore banned the
, fraudulent or dishonest act, or having an application for an offer for sale of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of information to the public and
Unfair allocation of shares Executives/directors committing dishonest acts Others, please specify………………………………………………………………………… Securities company/asset management company/mutual fund: Inaccurate
/memorandum of understanding is entered into for trading of securities in the tender offer. - None - I hereby certify that the foregoing statement is complete and accurate without misleading information and no
transportation limitations as well. Such actions above may be liable to concealing material information or disclosing misleading information in contravention of the Securities Law. The SEC is instructing EARTH
groups, namely: 1.1 Disclosure of information liable to causing damage to investors and capital market. This includes disseminating information or make a statement that is false or misleading in a
is correct, accurate, and complete in all respects. I/We also certify further that the said documents neither contain any false or misleading statement in materiality nor omission of any material