operators have different in sizes, target audience, and number of clients. Therefore, it depends on the business operators to find the most appropriate method to perform e-KYC as long as they follow the

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

management has caused the auditor to be unable to perform any audit to obtain sufficient evidences related to the company?s transactions.  Within June 1, 2012, the company is required to submit to the SEC and

public offerings of two issuing companies concerning filing of application for approval for public offering of shares, registration statement, and draft prospectus (filing).Akekajak failed to perform due

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

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. Reported by

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