February 2014 before the information became publicly known on 28 February 2014. Such action was deemed taking an unfair advantage of other people.Chai?s misconduct was in violation of Section 241 and liable

) in August 2018.  The misconduct of the four current and former executives and directors* is https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9289 SEC instructs MORE to clarify information

worth approximately 50 billion baht to take over a listed company that had long been established for more than 20 years in the same industry as WHA with a multiple P/E of 10. His misconduct with regard to

Novermber at 17.41 hours (after SET closing). His misconduct was in violation of Section 241 and liable to the penalties under Section 296 of the Securities and Exchange Act B.E. 2535 (1992).   

any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly without professional due care is in violation of Clause 23(2) and he is deemed to have the prohibited

Official Dated 16/10/2017 misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting

University INTRODUCTION • What is the effect of regulatory jurisdiction on the behavior of financial actors? Specifically, investment adviser misconduct? • Setting: Dodd-Fank re-jurisdicts “mid-size” RIAs in

misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and

misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed

misconduct, an inspection report from the bank and the SEC's further investigation have revealed that she solicited an elderly customer to invest in a mutual fund unsuitable for the customer's profile