Secretary-General said that ?In conducting an asset management business responsible for managing the money of investors and the general public, public trust is deemed vital for the business to succeed or

instructions from the clients.  They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining

offering of newly issued securities during 2011. His actions were deemed as failure to comply with the auditing standards and the Notification of the Office of the Securities and Exchange Commission No

, Mr. Somchit is deemed as having untrustworthy characteristics of a publicly held company director and executive on the grounds that the SEC filed the criminal complaint against him for his alleged

failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory

seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause

requirements to avoid possible disputes or frauds committed upon their assets, said SEC Deputy Secretary-General Vasant Thienhom.   Failure to keep complete and correct records of clients? orders are deemed non

shall be deemed as initiating negotiations or entering into any agreements with any creditor for the purpose of debt restructuring, whether the proposal is submitted to the bondholders’ meeting for

. The defendant shall also perform community service or public benefit work for a period of 12 hours, as deemed appropriate by the probation officer and the defendant, pursuant to Section 56 of the

against Mr. Suphan Sethapanich for this offense at the same time. The public prosecutor decided not to pursue the case in court and the case was deemed final. SEC Act S.281/2 paragraph 2 311 283