act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the

services with loyalty* by concealing, hiding and fabricating false evidence, and therefore revoked the approval and will not accept her future application for approval as personnel in the capital market

damage at the amount of 20,000 baht.   SEC has considered that Sorrapon failed to perform duties with loyalty* by committing wrongful acts against the investor’s asset, which was deemed a prohibited

or provide services with loyalty* by concealing, hiding and fabricating false evidence, and therefore revoked the approval and will not accept her future application for approval as personnel in the

with responsibility, due care and loyalty. As a result, the Civil Sanction Committee ordered {A} to pay a civil fine, compensate the SEC for any expenses incurred from investigating the offence, and

(6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and

period of asset acquisition is already past 12 months, and IGEN and IGEN-ENERGY have totally different nature of businesses. IGEN is in electrical business, but IGEN-ENERY is in Solar cell business

to consultation papers and more convenient participation in the hearing process. The website is accessible via multiple devices such as desktop, tablet and mobile phone, to fit the users

they incompletely recorded client's securities or derivatives trading orders due to their receipt of such orders via mobile phone. The SEC therefore publicly diclosed their inappropriate behavior and

. Stakeholders and interested parties from the public are welcome to submit comments through the website, through the phone number 0-2263-6332, or email to kunpatu@sec.or.th until July 21, 2013.