responsible for the operation of the reporting entity?s orders or action, failure to give instructions or perform their duty, such person may also liable to the penalty under the said Acts.SEC Secretary-General
/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3
Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for two months, effective from February 9, 2015
therefore suspended {A} from his duty as the approved securities investment consultant for one month, effective from February 23, 2015.---------------* Clause 20(2) of the Notification of Capital Market
Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved capital market investment consultant for six months. Taking into account that he had
-application for approval as capital market personnel for 4 years. Taking into account that {A} had already been suspended from her duty as securities investment consultant by her employer for 3 months; the
behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved
*. The SEC, therefore, suspended Acting Subbieutant Saroj from his duty as the approved securities investment consultant for a year and 2 months. Having considered that {A} had already been suspended by
Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri
: *ปัจจุบันผู้ประกอบธุรกิจต้องประกอบธุรกิจอย่างซื่อสัตย์ ใช้ความรู้ความสามารถ ความชำนาญ ด้วยความเอาใจใส่และระมัดระวังตามมาตรฐานหรือเยี่ยงผู้ประกอบวิชาชีพ (fiduciary duty) การคำนึงถึงผลประโยชน์ของผู้ลงทุนเป็น