particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval
or cease innovations but should study and learn from them closely for the best management of risks, particularly systematic risks. Therefore, consumer protection policy can be set properly and
, Victor, was deemed as failure to properly supervise his subordinates to prevent them from any action in violation of or in contravention to law on securities and exchange or notifications promulgated under
loans provided by clients, as well as, failing to discharge the duty properly as a manager in supervising and examining the staff's conduct to ensure the compliance with laws and regulations, in violation
properly allocate their investment suitable to risk appetite and expected return, promoting long-term investment as well as financial literacy through a variety of media."Peet Yongvanich, Managing Director
considered that an applicant has correctly and completely qualified with criteria as prescribed under Clause 3 and Clause 4, the SEC Office shall make the proposal to the Securities and Exchange Commission for
SEC Office. Clause 6 In case the SEC Office has considered that an applicant has correctly and completely qualified with criteria as prescribed under Clause 3 and Clause 4, the SEC Office shall make the
In case the SEC Office has considered that an applicant has correctly and completely qualified with criteria as prescribed under Clause 3 and Clause 4, the SEC Office shall make the proposal to the