discussion and analysis (MD&A), which gives an overview of changes to the company's finanical condition and operating results. ?The SEC's primary duty in considering an IPO filing is to ensure that the issuer
capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved
เพื่อสร้างความรู้ความเข้าใจที่ถูกต้อง เพื่อประโยชน์ในด้านการป้องปรามการกระทำผิด และ (5) ก.ล.ต. จะศึกษาความเป็นไปได้กรณีกรรมการและผู้บริหารของบริษัทจดทะเบียนไม่ปฏิบัติหน้าที่ตามหลัก Fiduciary duty โดย
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended {A} from his duty as the approved securities investment consultant for a month and 10 days
refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty
responsible and careful duty performance. He consequently possessed prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor Lor
bond liquidity, investors’ knowledge on debt securities, intermediaries and market professionals’ duty performance, the development of shared infrastructures and market database, and high-risk debt
collateral placement, selection of securities, data processing and data reporting to the management, agreement with investors and additional conditions in the case where business operators have the duty to
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and