with responsibility, due care and loyalty. As a result, the Civil Sanction Committee ordered {A} to pay a civil fine, compensate the SEC for any expenses incurred from investigating the offence, and
and accurate information in 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
, guidelines, service provider supervision, risk management, and business continuity measures. However, outsourcing does not discharge business operators from responsibility in the outsourced activities
clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the
economy. Besides, sustainability development through corporate social responsibility and corporate governance were emphasized to increase their awareness and implementation. In addition, this time it was
business operators from responsibility in the outsourced activities.The business operators will be allowed to outsource the activities to any other business operators without seeking for the SEC approval but
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
undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange Commission No. Sor Thor/Nor. 34/2547