materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
(6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and
, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana
investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the
time, when informing company account profile change] 3 Manual on Electronic Transmission of Information or other related manuals provided on the SEC Office’s website (“Manuals”) and we agree to abide by
Electronic Transmission of Information or other related manuals provided on the SEC Office’s website (Manuals) and we agree to abide by the Standard Procedures and Manuals in all aspects. In the event that the
Procedures) and the Usage Manual on Electronic Transmission of Information or other related manuals provided on the SEC Office’s website (Manuals) and we agree to abide by the Standard Procedures and Manuals
Online Submission CA - Download Forms / Manuals Laws and regulations listed by notified year Laws and regulations listed by notified year Issued Year All Ministerial Regulations Notification of the
Online Submission CA - Download Forms / Manuals Derivatives Advisor Licensed Derivatives Advisor | Registered Derivatives Advisor | Licensed Derivatives Advisor (Individual) Company Name Head Office Data
, cancellation of submission of paper document or reports, and codification of rules and regulations with manuals for convenience. SEC will gradually proceed with these by the end of 2020,” Ruenvadee said.About 19