consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee
derivative warrants of 90 companies, amounting to the total trading value of approximately 130 million baht.By accepting a client's assignment to make investment decisions for the client, {A} failed to perform
incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility
disclosure, a prospectus, progress reports of a project and use of proceeds. The offering of digital token must be made through ICO portals approved by SEC Board. The role of ICO portal is to perform due
such order, its declaration remains valid and IFEC directors must perform their duties in compliance with the DBD’s discretion. In this regard, all three directors, namely (1) Mr. Suphanan Rittiphairoj
be required to perform additional duties, for example, putting in place a system to inform the clients within a specified period in the case that the loss exceeds the specified amount, etc. SEC has
the board of directors of listed companies is obligated to perform duties with care, responsibility and honesty in accordance with Section 89/7 of the Securities and Exchange Act, the SEC, by virtue of
such severe wrongdoings, Chalerm is deemed unfit to perform the duty as investor contact and revokes the approval status of the investor contact for ten years, starting from June 23, 2011.Concurrently
be responsible and perform duties with prudence and care in compliance with laws, rules and regulations. The SEC therefore put Weerawat on probation by accumulating three demerit points on his record