.................................................................................................... 58 5. Essential Criteria ............................................................................................. 61 5.1. Do No Significant Harm
trading LIVE shares and converting share warrants of the persons under (8) and (9). Case 2: Seeking improper benefits from the rental and buy-back of advertising billboards The persons under (1) - (3
accounts of those related clients. She later withdrew the money for her own personal gains, causing damage to the solicited clients who had made the deposits in the first place. Consequently, Maybank Kim Eng
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
where the company may be liable to an offense related to client assets, which may cause damage to the clients, pursuant to the resolution of the SEC Board. Zipmex submitted clarifications on the matters
) ensure that only copyrighted software and appropriate software patches are installed and establish measures for protection against malware intrusion or damage to confidential or critical data stored on
qualifications and code of conduct for those who provide investment advice. The requirements stipulate the readiness for conducting businesses and maintaining collateral for surety to compensate for damage to
caused damage either to the financial institution or its clients; 2 Ibid. FN 1 17 (2) having been imprisoned by the final judgment of a court regardless of whether the infliction of punishment has been
the increase was paid by consultants to improve the production process and paid for goods damage compensation. 5. Management benefit expenses In Q2/2018, the management benefit expenses was Baht 3.69