, in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Minister of Finance
at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false
hearing are available in the appendix of this consultation at http://capital.sec.or.th/webapp/phs/upload/phs1510556854hearing_38_2560_S01.pdf.This current hearing, as requested by the Finance Ministry
manager shall also have the qualifications specified under Sub-clause (2) and (3). In case where shareholder under the first paragraph is a commercial bank under law on undertaking of finance business
Mai and nearby provinces, with a total of 1,100 students. This marks the first time of such activity, travelling and providing knowledge and experiences, with direct involvement by SEC, in
incurred the total damage of 6.95 million baht onto the investor. SEC has considered that {A} failed to perform duties with loyalty* by committing wrongful acts against the investor’s assets, which was
transactions as originally intended by the investors in the following business day. Instead, he spent the subscription money for his own benefit, causing the total damage of 449,500 baht to eight clients. SEC
on Personnel in the Capital Market Business dated 3 June 2014, as amended by the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital
Asia, agreed by consensus in 2003. The White Paper was an ambi- tious undertaking for a region as diverse as Asia. The 2003 White Paper on Corporate Governance in Asia was the basis of this Report. Since
accurate and updated records of clients’ assets; and (3) Seeking benefits from clients’ fiat money shall be prohibited except in the form of deposit with commercial bank(s). In this regard, digital asset