recorded such behavior for future reference if breach of duty is found. The said acts are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
' securities trading orders. All of them admitted that the unrecorded orders were taken via mobile phone. The SEC therefore suspended them from duty as approved investment consultant for one month. For {F} and
TTCL Public Company Limited TTCL Public Company Limited (“TTCL”) had a duty to prepare and submit the accurate financial statement for Q1 year 2020 in accordance with the notification of the
Altitude Development Company Limited Altitude Development Company Limited (“ALT”) had duty to prepare and submit financial statement and key financial ratio for year 2023 and within 1 April 2023
. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading
succeed without having efficient internal units comprising (1) company secretary having duty to monitor the company and its executives to comply with laws and keeping important information, (2) internal
. About the Task Force on Climate-related Financial Disclosures On 4 December 2015, the Financial Stability Board (FSB) established the industry-led Task Force on Climate-related Financial Disclosures
in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect
diligence task related to either (1) Business (e.g., issuer information, business plans, digital token projects) or (2) Technology (e.g., source code in smart contracts or other mechanisms used in place of