relating to reasonable supervision to prevent juristic person or business under one’s management or to prevent staffs under one’s supervision (if any) from doing or omitting to do any act in violation or
in refusing to accept assets or other kinds of benefits from any persons involved in the operation of the SEC to prevent obstruction of duty performance. The violation of such rule is not only deemed
ที่ไม่เป็นไปตำมนโยบำยกำรลงทุน/เกณฑ์กำรลงทุน (breach) (ถ้ำม)ี มูลค่ำทรัพย์สินสุทธิ (NAV) 112 ล้ำนบำท จ ำนวนสมำชิก 251 คน 1 ปี ย้อนหลัง 3 ปี ย้อนหลัง 5 ปี ย้อนหลัง 10 ปี ย้อนหลัง ตั้งแต่จัดตั้ง นโยบำย อัต
breach of contract with the foreign software developer, including payment default.The JMT Audit Committee has acknowledgd the IFA?s opinion but still approved the Board of Directors? decision. The SEC has
bonds, bills or Sukuk for sale in violation of the criteria for offer for sale in a private placement to institutional investors or high net worth investors in the two years prior to the filing of the
the debt securities, bills or Sukuk for sale in violation of the criteria for offer for sale in a private placement to institutional investors or high net worth investors in the two years prior to the
client?s behalf and failure to keep complete record of securities trading orders were in violation of the Notifications concerning personnel in the capital market*, the SEC therefore suspended {A} from his
securities trading was made from the client and seeking benefits from client during performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the
, namely (1) Mr. Sawin Chindakul, (2) Ms. Paradee Teawanitchakul, and (3) Mr. Noppadon Chaidarun in order for the DSI to conduct further legal proceedings in the case of EARTH’s violation of the SEC’s order
the 11 investment consultants were deemed a failure to perform duties or provide services honestly as they sought to gain personal benefits from investors through their job operation, or a violation of