of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control and suppression, regardless of whether it is Thai or foreign law
internal control system, causing the suspicious issues in the dishonest acts to evade inspection. The SEC has therefore banned the three offenders from performing duties as branch manager in the capital
costs and benefits. Public authorities should have effective enforcement and sanctioning powers to deter dishonest behaviour and provide for sound corporate governance practices. In addition, enforcement
complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale
trading or management in deceitful, fraudulent or dishonest manners; (4) being prohibited from acting or performing duties as a director, manager, a person with the management power, or an advisor of a
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
Governance of Publicly Traded Company - Definition (Section 89/1) - Qualifications and the removal of directors and executives (Section 89/3 - 89/6) - Duty and responsibility of directors and executives (Section 89/7 - 89/14) - Shareholders’ rights under Chapter 3/1 (Section 89/26, 89/28, 89/30) - Shareholder’s right to bring a derivative action and a private lawsuit against directors and executives (Section 89/18 - 89/20) - Criminal liability of directors and executives (Section 281/2, 281/3, 2...
(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...
communication with a client . In addition, the intermediary shall communicate at the right time, with clear and reliable information, and without misleading information. Clause 29 In case an intermediary has
information in this papers are correct complete and carefully making respectively which is most important concerned about the benefits of all the shareholders. It contains no misleading information which may