our duties in various areas will reflect our commitment to independence, transparency and fairness for all. This is how we build trust and confidence. Personally, I would be pleased and thankful for
entity under the SEC supervision with the duties to comply with the Digital Asset Decree and related regulations. If any contraventions are found, the SEC can take enforcement actions against the company
has considered that Nattapong failed to perform duties with loyalty* by committing wrongful acts against the investors’ assets, which was an offense liable to revocation of approval as securities
incurred the total damage of 6.95 million baht onto the investor. SEC has considered that {A} failed to perform duties with loyalty* by committing wrongful acts against the investor’s assets, which was
well as the Democratic Form of Government with His Majesty the King as Head of State, (2) Integrity, good conscious and accountability to duties, (3) Decisiveness and proper and fair conduct, (4
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 applicable to
ก.ล.ต. มีแนวคิดที่จะกำหนดหลักเกณฑ์ในรายละเอียดเกี่ยวกับการประกอบธุรกิจหลักทรัพย์และธุรกิจสัญญาซื้อขายล่วงหน้า ในหมวดของการประกอบธุรกิจในฐานะผู้มีวิชาชีพ (Fiduciary duties) และหมวดโครงสร้างการบริหาร
capital market business operators. The roles and duties of organizations of capital market business operators will be closely similar to associations related to securities business. Additionally, the
perform their duties professionally that is strongly supportive to building confidence in the capital market.
(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 Investment and Giving Investment