cases: (1) appointment of infrastructure fund’s personnel as follows: (a) infrastructure fund manager who perform duty of making investment decision or divesting of infrastructure asset of infrastructure
the firm assures that all staff has sufficient accounting and auditing knowledge enough to perform their audit work? 12 Does the firm conduct significant amount of in house training? 13 Does the firm
sued by the creditor.These issues arose from the fact that (1) IFEC was void of chairman to perform the duty of calling a Board of Directors meeting legally, and (2) the legitimacy of the majority of the
DSI for its consideration to take further legal action. The allegation shows that the accused are considered to be untrustworthy to perform duties as directors and executives of a securities issuing
incurred the total damage of 6.95 million baht onto the investor. SEC has considered that {A} failed to perform duties with loyalty* by committing wrongful acts against the investor’s assets, which was
, that audit quality will not be compromised as the SEC will require both groups of auditors to work for audit firms that perform and equip with quality assurance system in compliance with professional
, therefore, bars {D} from re-entry capital market business for two years and eight months, starting from 18 December 2020. During this period, {D} will not be able to perform duties as a branch manager or
particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval
appointed by the Minister to perform duties under this Act. “Minister” means the Minister in charge of this Act. SECTION 4 A trust may be created for the benefit of transactions in the capital market as
where the home regulator is established; (4) a letter appointing a brokerage firm to perform duty as a representative responsible for the trading of units of ASEAN Collective Investment Scheme in Thailand