the Securities and Exchange Act. In addition, He failed to order or act his duty resulting in Solaris Asset Management Co., Ltd. violation of section 117 of the Securities and Exchange Act. Solaris
บริษัทจัดการ (active breach) และเข้าข่ายเป็นการกระทำผิดเกณฑ์เช่น มูลค่าทรัพย์สินหรือธุรกรรมที่กองทุนได้ลงทุนมีการเพิ่มขึ้นหรือลดลงเกินกว่าการเปลี่ยนแปลงของมูลค่าดังกล่าวโดยเฉลี่ยในช่วงระยะเวลาใด ๆ ในอดีต
client in replacement of {B}. Seeking benefits from the client during the performance of duties, trading securities on behalf of the client and failure to comply with KYC/CDD procedures were in violation
SEC shall remain 2 months, effective from July 9, 2015. * Making trading decision on the client?s behalf and failure to perform duty in compliance with the company?s rules were deemed as a violation of
rules were deemed as a violation of Clause 14(2) of the SEC Office Notification No. SorKhor.49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated October 14, 2009 and Clause 20(2) of
companies and the sale of black steel to Thai Niche, BF, and KSC, with support from BF, KSC, Jalernrat, and Thai Niche, were deemed a violation of Section 312 of the SEA. Moreover, their actions were also
. Natcha Suttipate and (8) Ms. Nijjawan Iamsaard were involved in the wrongdoing of Thanaporn by executing transactions for clients whose activities were clearly irregular in violation of the bank's
entrusting the company to manage their private funds with due care and professional standards, consequently liable to be a violation of Section Paragraph 2 and 3 of Section 134, in conjunction with Paragraph 1
. Non-compliance with the rules may be liable to intentional violation and breach of staff disciplines. 1 The first evaluation of the CMSB took place in 2010 as it was officially appointed and began its
the parties and clear performance where there is either a breach of contract or a triggered condition of acceleration clause. In cases where the lender is an institutional investor under Section 3 of