in the manner that implies dishonesty, affecting the reliability of capital market business personnel in a significant manner, both of which are considered prohibited characteristics of the capital
enhancement for investment analysts and research, as well as securities professionals to build investor confidence and strengthen business competitiveness. The meeting also discussed certain business obstacles
Bangkok, February 12, 2013 ? The SEC encouraged the Association of Investment Management Companies (AIMC) to improve the performance calculation practice of asset management companies to be in line with international standards in performing their role of information disclosure to facilitate investors? investment decisions. SEC Secretary-General Vorapol Socatiyanurak said in the first-quarter meeting with AIMC: ?The SEC encourages the association to urge asset management companies in addition to...
dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodged by clients of Siam City Securities Co., Ltd., and the company?s report on investigation spurred from
from a client?s account, which was deemed a breach of duty. She was also found to have acted in such a way that indicated dishonesty to the bank. In this regard, Sarinrat was deemed having prohibited
officer by the Stock Exchange of Thailand due to his dishonesty. The aforementioned reflected that Mr. Kultavarakorn neglected to comply with the specified rules and regulations, failed to provide
Thailand and the Department of Special Investigation) in the offences relating to unfair securities trading or management with nature of deceit, fraud or dishonesty, in which case the SEC shall remove such
, resulting in 2 years and 6 months imprisonment for 122 counts (2) for dishonesty and failure to discharge her duty as director with due care and loyalty. (3) for dishonestly converting listed company’s
deemed as performing duty with dishonesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as capital
being punished or legally proceeding against for management in the manner of deceit, fraud or dishonesty relating to offences against property as specified as prohibited characteristic in Group 2 under