Bangkok, 24 November 2017 ? The SEC urges investors to read important information on the prospective listed companies to examine duty performance of company directors and executives before making
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
. Her action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation of Section 89/7 of the SEA. This case is under
authorized director, causing the company to suffer losses. His action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation
any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorChor. 23
, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana
Krungsri Securities for a certain period of time. {C} admitted and explained that her client was not keen on investment and asked her to take care of the trading account.{D} failed to perform her duty in
a committee serves as director in the company having high value of trading transactions, audit committee may be lack of independence in performing his/her duty. Q: Can audit committee be sibling? A
; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 32, Section 33, Section 41, and Section 43 of the
capital market; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 32, Section 33, Section 41, and