investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The
executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
Patumban, as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company?s core work systems. Regarding the share
broker to disclaim its liability to its clients in respect of any willful act or omission or negligent act by the derivatives broker or its employees or any person who works for the derivatives broker
has made with the client shall contain no statement which enables the derivatives broker to disclaim its liability to its clients in respect of any willful act or omission or negligent act by the
the first paragraph shall be based upon the factors specified in Clause 14. In case of intentional or gross negligent violation which causes the violator to obtain ill gotten gain or causes damages to
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
believe that there is or was a demeanor of negligent act relating to reasonable supervision to prevent juristic person or business under one’s management or to prevent staffs under one’s supervision (if any