the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are subject to investigation regarding their duty
B.E. 2535 (1992). By committing the aforesaid act with a wrongdoing intent, Wichai benefited from the results of the election. Such misconduct is therefore liable to dishonest performance of duty
Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...
requested the selling of SCB Open-end Long Term Fund Dividend 70/30 in a portion that met the minimum of 5 year investment. A bank officer who was not an investment consultant processed the selling of
SEC Secretary-General Ruenvadee Suwanmongkol (second from left) and SEC Assistant Secretary-General Praoporn Senanarong (far left) met with IOSCO Secretary-General Paul Andrews (middle) and IOSCO
the client. They admitted that {A} contacted the client and made trading order confirmation via phone by herself. {B} and {C} neither met or contacted the client nor received or confirmed any trading
Bangkok, September 11, 2014 ?The SEC is seeking public comment on draft regulations on termination of listed company?s duty to disclose information under Section 56 and duty of directors and
asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1) Be independent from the asset management
50,000 baht if all of the streamlining conditions are met. The consultation paper is available at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or
for listed companies.The new rule would benefit listed companies that comply with good corporate governance principles when they plan to conduct a PO, provided that certain stipulated conditions are met