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...
has carefully considered and has opinion that having benefit or interest of such director does not affect his performing duty and ability to give independent view, the company can appoint such director
who have suitable knowledge and ability for the duty; (2) Disclosure of information that is necessary for making investment decision to the client including investment risk, fees or expenses, conflict
company should observe the duty of care in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for
company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of
discussion and analysis (MD&A), which gives an overview of changes to the company's finanical condition and operating results. ?The SEC's primary duty in considering an IPO filing is to ensure that the issuer