Information on the laws and regulations relevant to performing duty as Recognised Representative in ACMF member countries Professional Mobility ACMF Pass framework Products : shares, bonds, units of

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...

securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior

behalf of clients was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved

Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions

clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the

) ................................................................................................................................................................. As the user of Company Account with the power and duty related to electronic submission of information to the SEC Office in accordance with the SEC Office’s Standard Procedures for Electronic