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

refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty

’ instruction and refused to facilitate a meeting venue for the board of directors’ meeting. Such misconduct was therefore deemed as the failure to perform his duties as a listed-company director and executive

less than 3 consecutive years; and SEC allows the auditors in a small audit firm to perform duties for more than 7 cumulative years but no more than 9 cumulative years. As the grace period is

effect as from September 10, 2014. Note:   Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of

own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation