profits from the order. SEC views that {A}’s act did not comply with the investor’s order and was deemed failure to perform duties with responsibility and deliberation as a professional**. SEC has
failure to perform duties or give services with loyalty, responsibility and deliberation as a professional in contravention to the Notification of the Capital Market Supervisory Board.* SEC has therefore
discipline, training students on correct financial management principles, encouraging responsibility and instilling the habit of spending time on activities that are beneficial to the community by
. Sornchai Suneta, Vice President of CFA Society Thailand, said, “CFA Society Thailand is committed to engaging and supporting Thai companies in realizing their social responsibility and governance that can
awareness and responsibility over project management for the benefit of digital token holders and increasing confidence in both fundraising and investment through ICOs. The proposal contains the following
) Mr. Sakesan Baisak and (3) Mr. Partheep Chinsangtip jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and
(2) Mr. Sakesan Baisak and (3) Mr. Partheep Chinsangtip jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and
. Patiphat Supasirisin and (3) Mr. Partheep Chinsangtip jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained
its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million
such as accounting document, contract, etc. Matters under the SEC Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower