from their failure to properly perform a due diligence in case of a company applying for initial public offering of shares as follows: 1. As the financial advisor supervisors, they failed to verify the
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with
for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and
customer who is listed as a designated person or who has or had conducted transactions with such a person. Failure to do so may result in criminal penalty. In addition, a director, a manager, or a person
trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital
amend other regulations related to ICO portals’ submission and disclosure of financial statements and actions in case of ICO portals’ failure to comply with governing regulations, to enhance efficiency
regarding the failure to record allowance for uncollectible refunds of advance payments for goods and omit to estimate the recoverable amount of the investment in the subsidiaries to comply with financial
failure to comply with the terms and conditions; and Agenda item 2: (a) Extension of the maturity date for the bond redemption for another 10 months and 15 days without being considered the event of