from their failure to properly perform a due diligence in case of a company applying for initial public offering of shares as follows: 1. As the financial advisor supervisors, they failed to verify the

of outstanding work made by 40 volunteers under the shareholders? rights protection campaign launched by the TIA in the past years. This aimed at encouraging them to perform their work efficiently

failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory

Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri

) Mr. Sakesan Baisak and (3) Mr. Partheep Chinsangtip jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and

(2) Mr. Sakesan Baisak and (3) Mr. Partheep Chinsangtip jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and

. Patiphat Supasirisin and (3) Mr. Partheep Chinsangtip jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained

consultants with ESG knowledge, ensuring that professionals in the capital market are equipped to perform their roles effectively. This event took place on 4 November 2024 at Sofitel Bangkok Sukhumvit Hotel

compulsory training courses, the renewal approval may not be granted before the current approval expires. This could result in the approval lapsing and the inability to perform duties. Consequently, the

code of ethics for SEC workforce in line with the intention of the Ethical Standards Act. The drafted code of ethics contains regulations which require the workforce to perform work and uphold ethics