act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the

confession that she had misappropriated the client’s money and used it for her own benefit at the approximate amount of 2.5 million baht.  SEC has considered that Sunisa failed to perform duties or provide

to perform duties responsibly with professional due care in violation of the Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the administrative sanction whereby her

investment planner, for three months starting from 7 April 2020.  _______________________Notes: *  Failure to perform duties with responsibility and deliberation as a professional under

damage at the amount of 20,000 baht.   SEC has considered that Sorrapon failed to perform duties with loyalty* by committing wrongful acts against the investor’s asset, which was deemed a prohibited

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

written confession that she had misappropriated the client’s money and used it for her own benefit at the approximate amount of 2.5 million baht. SEC has considered that Sunisa failed to perform duties

This proposed amendment to the regulations on qualifications of capital market auditors aims to facilitate capable auditors’ entry into the capital market to perform audit work and to streamline

;            (4)  Requiring the trustee to perform additional duties. For example, monitoring and overseeing the issuer’s asset management according to the governing regulations. In this regard, the trustee must

Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was