authorized director, causing the company to suffer losses. His action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation
own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
insight between top executives of listed companies and the SEC. The Forum focused on corporate responsibility to society and environment along with corporate governance and anti-corruption. Featuring in the
that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders fairly. The role, duties and responsibility of directors/ executives The board of
ultimate responsibility over the system of quality management (SOQM) functions within the firm? B3 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how
trustee and the REIT manager shall perform their duties with the scope of authority, duty and responsibility as stated in the relevant particulars of the authority and duty of the trustee and the REIT
Settlement Committee. Mr. Somchai paid the fine as determined by the Settlement Committee order no. 8/2016, March 16, 2016. This case is regarded as settled. SEC Act S.243(1) in conjunction with 244 and
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
. Sittilarp to conceal the identity of the account user. 08/07/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil