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
, and the balance at the end of the first quarter of the fiscal year 2017 accounted for 45 percent of the total assets and is thus considered EARTH's core assets. Accurate and complete information on such
baht. Thus, this would be considered an inappropriate price. In forming the opinion on the said matter, the IFA has also taken into account related expenses that may incur if the acquisition is not
are not applicable to – certain types of transactions. For example, giving financial assistance to a third party which is not considered a transaction in the normal course of business of listed
agenda was to discuss fundraising for business expansion, as earlier appeared on a newspaper, was entirely unfounded, while in fact he knew fully well that the fundraising had already been considered by
written confession that she had misappropriated the client’s money and used it for her own benefit at the approximate amount of 2.5 million baht. SEC has considered that Sunisa failed to perform duties
confession that she had misappropriated the client’s money and used it for her own benefit at the approximate amount of 2.5 million baht. SEC has considered that Sunisa failed to perform duties or provide
’ equity falls below zero. In case of any irregular trading activity, SET is the frontline inspector and, if it is considered a liable offense, will gather information for SEC to conduct in-depth inspection
the clients’ handwriting, subscription orders and switch orders or unitholders’ account books, causing damage to four clients at the total amount of 10.44 million baht. The SEC has considered that
considered to settle his current case with harsher punishment.