The SEC emphasizes the importance of supporting relevant parties and key stakeholders in the financial reporting ecosystem to ensure that they are capable of performing their duties appropriately

Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator

credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such

such order, its declaration remains valid and IFEC directors must perform their duties in compliance with the DBD’s discretion. In this regard, all three directors, namely (1) Mr. Suphanan Rittiphairoj

Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the

SEC files criminal complaint against six GEN?s directors and executives for failing to perform duties with responsibility and due care causing damage to the company Bangkok, May 17, 2012 ?  The SEC

Bangkok, August 9, 2012 ? The SEC defines trust as securities issuer under the Securities and Exchange Act of 1992 in order to form clearer scope of duties and responsibilities of trust, trustee and

) seeking benefits from investors through her job position, (2) agreeing to trade securities or derivatives on her clients? behalf and (3) failing to perform duties or providing services honestly, as

client is in violation of 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 Analyzing

the SEC, in materiality.  The said actions were also failure to perform the duties as professionals with prudence, due care, knowledge, capability and experience and considered as prohibited