trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
violation of Sections 243 in conjunction with Section 244 of the Securities and Exchange Act B.E. 2535 (1992) in conjunction with Sections 83 and 86 of the Penal Code. As they declined to enter the settlement
the SEC’s examination, is considered an offense of making false entries or omitting material statements in the accounts or documents of, or related to, a juristic person. This constitutes a violation
/Assessment/ROSC_Thailand_web.pdf Principles of Corporate Governance - G20 version effective redress for violation of their rights. Equity investors have certain property rights. For example, an equity share in
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