4 audit firms that is different from the audit firm performing audit service for KWI during the past three years stated above. Additionally, KWI must submit the special audit report to the SEC within

any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly without professional due care is in violation of Clause 23(2) and he is deemed to have the prohibited

ideal candidates should also have other useful experiences for performing the Secretary-General role in alignment with legal intent, vision, mission, and objectives of the SEC to promote, develop and

Kanjanopas) in trading shares of Karat Sanitaryware Plc. ("KARAT") through her own account by using inside information. Such information was obtained by Apichart while performing duty as a chief legal counsel

relaxing the requirements, respectively.REITs regulations will be relaxed to allow the commercial banks performing a function of  REIT trustees to participate in REITs related businesses, providing that a

with international standards in performing their role of information disclosure to facilitate investors? investment decisions. SEC Secretary-General Vorapol Socatiyanurak said in the first-quarter

Perform Duty of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from performing duties of investment consultant for six months. Taking into

client in an unprofessional manner.The actions of {C}, {D}, {F}, and {G} were deemed performing duties beyond the scope of employment, taking advantage of client by virtue of duties, and using client

operating fund supervisor business, at least the followings, are or will be at the ready: (a) Systems for separating mutual funds’ assets from those of the fund supervisor’s, for attending and safekeeping of

irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least