Bangkok, August 25, 2009 ? The SEC imposed a three-year probation on Maris Tarab, in his capacity as the managing director of ING Funds (Thailand) Co., Ltd. and fund manager of T.U. Dome Residential Complex Fund (TU-PF), for failing to perform his duties prudently and professionally for the best interest of TU-PF unitholders. The probation, which covers his status as approved property fund manager/securities company executive/mutual fund manager/private fund manager/investor contact, took effect...
punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
who obtained an SEC approval to become ICO portals and for digital token sale. Therefore, those who make infringement will be regarded as breaking the laws with criminal and civil penalties
effective redress for violation of their rights. Equity investors have certain property rights. For example, an equity share in a publicly traded company can be bought, sold, or transferred. An equity share
such allocation of the newly-issued ordinary shares, the Company reserves the right to consider not allocating the shares to any subscriber if such allocation causes or may cause the infringement of
หลักการ กำกับดูแลกิจการที่ดี สำหรับบริษัทจดทะเบียน ป 2555 Good Corporate Governance The Principles of for Listed Companies 2012 หลักการกำากับดูแลกิจการที่ดี สำาหรับบริษัทจดทะเบียน ปี 2555 บทนำ บทนำ การกำากับดูแลกิจการที่ดีมีความสำาคัญต่อบริษัทจดทะเบียน เพราะแสดงให้เห็นถึงการมีระบบบริหารจัดการท่ีมีประสิทธิภาพ โปร่งใส ตรวจสอบได้ ซ่ึงช่วยสร้างความเช่ือม่ันและความม่ันใจต่อผู้ถือหุ้น นักลงทุน ผู้มีส่วนได้เสีย ผู้ท่ีเก่ียวข้องทุกฝ่าย และนำาไปสู่ความม่ันคงเจริญก้าวหน้า จึงกล่าวได้ว่าการกำากับดูแลกิจกา...
allocating the shares to any subscriber if such allocation causes or may cause the infringement of foreign shareholding restriction as specified in the Articles of Association of the Company which, at present
recorded such behavior for future reference if breach of duty is found. The said acts are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital
found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings