from a person who is required by law to specifically take responsibility. - The debenture holder representative or the mutual fund supervisor fails to act in compliance with his or her power and duties
investment units shall not be concentrated in the holding of any individuals or any groups of persons which could exercise power over fund management and exploit the fund for own benefits such as tax avoidance
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
their duties for the best interests of the company. Therefore, A person who has a conflict of interest must not do business which is in competition with the company. There must be no related party
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
important information and supporting evidence to SEC Complaint Center. This includes the followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of
Sanction is a recent enforcement power added by the Securities and Exchange Act (No. 5) B.E. 2559 (2016) and the Emergency Decree on Digital Asset Businesses of 2018 in order to improve efficiency of law
Roles and responsibilties Report on the interest of directors and executives / related person in relation to the management of the company Related party transaction / acquisition or disposition of asset
person to sign on the letter notifying the SEC of the name of the company secretary and the document storage location? A: Yes, preferably attached with the power of attorney. In any case, the previous one