Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to
directors and executives who were his close associates.Mr. Perajed Suwannapasri’s actions constituted a failure to perform his duties with responsibility, prudence, and integrity, causing damage to GIFT or
information without reasonable causes or with unreasonable excuses.The acts of Zipmex and CEO Akalarp were liable to be a failure to comply with the order of the Competent Officer, subject to the offenses and
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that
finance ecosystem to ensure effective outcomes. “The SEC continues promoting Transition Finance, which is a key initiative to achieve the Net Zero Goal. Failure to act could pose a risk to
Miss Sugunya Sukjaroenkraisri Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (“ACAP”), shall be liable for ACAP’s failure to