be required to perform additional duties, for example, putting in place a system to inform the clients within a specified period in the case that the loss exceeds the specified amount, etc. SEC has
Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of
, 2014.Note: Clauses 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
the board of directors of listed companies is obligated to perform duties with care, responsibility and honesty in accordance with Section 89/7 of the Securities and Exchange Act, the SEC, by virtue of
such severe wrongdoings, Chalerm is deemed unfit to perform the duty as investor contact and revokes the approval status of the investor contact for ten years, starting from June 23, 2011.Concurrently
be responsible and perform duties with prudence and care in compliance with laws, rules and regulations. The SEC therefore put Weerawat on probation by accumulating three demerit points on his record
cease. He is therefore no longer allowed to perform duties as capital market personnel. In any case, filing a criminal complaint with the DSI commences criminal justice administration whereby any person
relevant regulations as long as they are subject to the complaint and the subsequent procedure, which caused their approved status to cease. They are therefore no longer allowed to perform duties as capital
the Securities and Exchange Act of 1992 (SEA), and because CGH is a listed company, Chupong has also contravened Section 89/7 by failing to perform duties responsibly and honestly, which is liable to
company, {A} has also contravened Section 89/7 by failing to perform duties responsibly and honestly, which is liable to the penalties under the second paragraph of Section 281/2 of the SEA, in conjunction