.?? _______________________________Note: The misconduct of the five investment consultants were in violation of Clause 23(2) and 23(3), and liable to the prohibited characteristics of personnel in the capital market under Clause 31(1) of
misconduct in violation of Section 170 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) was dishonest duty performance that caused damage to the company or created a benefit for himself, as specified
inconsistent with normal market condition and cause disruption or delaying the functioning of the trading system of the trading venue, is liable to violation of the Securities Law. In addition, the amendments
violation of Clause 23(1) and (2) and Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Capital Market Personnel dated 3 June 2014, which has
. TorThor/Nor/Khor. 37/2010 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. It was in violation of Clauses 23(1) and the prohibited characteristics of the personnel in the
as a tool for organization to incorporate PDPA into its working processes systematically and intelligibly in order to prevent risks from violation of the laws and to gain trust from customers and
_____________________________________________________________________ 3. I/We have not had any record of violation of the laws or regulations of Home Jurisdiction in matters relating to the disclosure of material information to investors or Home Regulator, and have
record of violation of the laws or regulations of Home Jurisdiction in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such material
https://market.sec.or.th/public/mrap/MRAPFile.aspx?FILESEQUENCE=3&FUNDNAME=SCBASF6MK8&FUNDCOMPRUNCOD... Principles of Corporate Governance - G20 version effective redress for violation of their rights
... https://www.sec.or.th/cgthailand/TH/Documents/Assessment/49801431.pdf Principles of Corporate Governance - G20 version effective redress for violation of their rights. Equity investors have certain