reimbursement of investigative expenses Cases Persons Fail to exercise duty of care - - - - - - - Presenting a false statement or concealing material facts that should have been stated - - - - - - - Disclosure of

As information-consuming behavior has shifted as a result of technology, presenting information via crowdsourcing has been widely spreading. Therefore, SEC has had an idea to waive the supervision

, presenting the objectives of the event.Mrs. Pornanong Budsaratragoon, SEC Secretary-General, addressing "Directions for Regulating and Developing the Thai Capital Market to Build Trust and Confidence and

information, integrating ESG information into analysis and valuation, and presenting ESG information in research reports. In addition, it contains resources for analysts to reference for in-depth information on

Court of First Instance The Appeal Court The Supreme Court These offenses (e.g. presenting false statement concerning public offering, analyzing financial position based on false information, using or

time of the incident, was considered that he deceived by presenting false statements and concealing facts that should have been disclosed to its clients, which led the clients to use Zipup/ZipUp

TOWER, ROOM NO.1701, 1702 17TH FL., PLOENCHIT ROAD, LUMPINI, PATHUMWAN, BANGKOK 10330 LUMPHINI, PATHUM WAN, Bangkok 10330 Tel. 02-880-6000 Fax. 02-680-5112 4. GUARDIAN CAPITAL ASSET MANAGEMENT COMPANY

imposed on an offender for these following offenses under SEA: (1) committing unfair practice regarding securities trading (e.g. market manipulation and insider trading); (2) presenting a false statement or

SEC researcher, described in presenting ?Mutual Fund Fees & Performance? that the mutual fund fees and expenses may substantially affect the value of investors? portfolio, especially those with long

provide investment advisory services; 4) process and operations of the business operator, such as, reporting of investment results, adjustment process, investment strategy by presenting information for a