perform duties with responsibility and prudence as a professional under the relevant Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the following sentences
in the governing Notification to perform audit work and affix signature to express an opinion on audit reports of foreign business wishes to or granted approval for public offering of shares in
consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's trading account to trade
investment consultants consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's
has considered that Nattapong failed to perform duties with loyalty* by committing wrongful acts against the investors’ assets, which was an offense liable to revocation of approval as securities
Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which
warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance
November 8, 2014. *Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2012 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and
administrative panel or the SEC, as the case may be, for commencing the administrative proceedings under this Chapter. 3 Clause 7.1 The department in charge as assigned by the SEC Office to perform operational