adviser, and (b) reasonableness of the assumption (Section 89/9). The adviser hired by the board must be responsible to the board. Should the adviser is found to have provided false information, the board
representative or the mutual fund supervisor fails to act in compliance with his or her power and duties; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing
representative or the mutual fund supervisor fails to act in compliance with his or her power and duties; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
company disclose false essential information or conceal any facts of which the shareholders should be notified. T aking legal proceedings to claim for damages or the lost benefits to a company, when
board structure, in terms of size, composition, and the proportion of independent directors so as to ensure its leadership role in achieving the company’s objectives. Principle 3.2 The board should select
treatments related to securities trading, for instance, market manipulation, insider trading and dissemination of false statements. Samples of matters beyond the SEC responsibility ● Matters under supervision
dissemination of false statements), the SEC may proceed through criminal fining or criminal complaint, and will disclose such case to the public in due course; ● Complaint or tip handling time depends on the
person who gives information, examination on reliability of information and actions to be taken on a person providing false information? A: Securities and Exchange Act B.E. 2535 establishes protection
person who gives information, examination on reliability of information and actions to be taken on a person providing false information? A: Securities and Exchange Act B.E. 2535 establishes protection