the ECD Police for further legal proceeding. Consequently, he is deemed as having untrustworthy characteristics of directors and executives of issuing and listed companies*, and thus automatically
were subject to civil sanctions under Section 296 of the SEA, as amended, too. The Civil Sanction Committee has resolved to authorize SEC to initiate a civil sanction proceeding against Chantip
Funds of Management Company, measures on non-compliance, and additional rules governing the following matters: (1) the establishment of a fund and post-approval proceeding in Part 1; (2) the provisions on
Funds of Management Company, measures on non-compliance, and additional rules governing the following matters: (1) the establishment of a fund and post-approval proceeding in Part 1; (2) the provisions on
and post-approval proceeding in Part 1; (2) the provisions on the proceeding of an established fund in Part 2; (3) the administration and management of a fund in Part 3. Clause 5 A management company
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...
proceeding, the SEC will bring an action against the alleged offender in the Civil Court. However, before filing a civil case, the alleged offender may agree to enter into a settlement agreement under the
capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of being punished or legally proceeding against for management in the
• the duty of care, • duty of loyalty, • duty of good faith, • duty of confidentiality, • duty of prudence, • and duty of disclosure. • If a person violates their fiduciary duty, they are personally