financial statements of Renaissance FMC, which constitutes a prohibited characteristic for an auditor in the capital market*. Accordingly, the SEC resolved to revoke Ms. Sulalit’s approval as a capital
committed the several distinct and different offences, the Court inflicted the punishment prescribed for each offence as follows: (1) for 18 counts of dishonest and failure to discharge his duty as director
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated 18 January 2012, which is deemed a prohibited characteristic of capital market business personnel under Clause 6(1) of
defendant, for his contravention of Section 307, 311, 312(2) and 313 of the SEA. Defendant?s wrongful acts involved in several distinct and different offences and shall be penalized based on counts in
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis. Clause 2. This Notification
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of