Investment Advice dated January 18, 2012. The SEC therefore has suspended {A} for six months. Due to his approval status which will expire by December 31, 2012, the suspension period shall therefore remain
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
Montri Fund. Willful distortion of information in the fund scheme and prospectus and failure to properly conduct due diligence in the fund establishment as well as receiving benefits from the property
for their decision making since the directors and executives are obliged to provide information and opinion on appropriateness of the transactions, with due care and honesty in order to protect benefits
Exchange (SGX), who is of view that volatility closing price on such particular day was due to market?s low liquidity. SGX also investigated on the incident and decided to set additional measure where market
securities firms themselves took part in share price manipulation. Strict enforcement on this case is imperative. Due to their misconducts, Porntep and Arada now have prohibited characteristics of capital
? responsibility for the client assets and must have provisions requiring that the companies take full responsibility for the client assets should they become lost or damaged due to the companies? negligence. The
1-31, 2007, respectively. Five more suspects relevant to the cases expressed an initial intention to enter the settlement procedure. The SEC will announce the settlement results in due course. The
your customer / customer due diligence ("KYC/CDD") ไม่รัดกุมเพียงพอที่จะทำให้มั่นใจได้ว่าบริษัทรู้จักและระบุตัวตนหรือผู้รับประโยชน์ที่แท้จริงของลูกค้า รวมถึงป้องกันการกระทำที่อาจไม่เหมาะสมของลูกค้าได้
) 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