confession that she had misappropriated the client’s money and used it for her own benefit at the approximate amount of 2.5 million baht.  SEC has considered that Sunisa failed to perform duties or provide

Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the

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

written confession that she had misappropriated the client’s money and used it for her own benefit at the approximate amount of 2.5 million baht. SEC has considered that Sunisa failed to perform duties

without double-checking the correctness of processing and confirming the redemption orders in violation of the tax terms.SEC found the three investment consultants to have failed to perform duties with

revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the

auditor's qualified opinion on the financial statements of the subsidiary because the subsidiary failed to set an allowance for doubtful accounts and had yet to improve the efficiency of its internal control

within 30 November 2017. The SEC later extended the deadline for PACE as requested, to 15 January 2018.  However, PACE has failed to submit the clarification and disclose the required information within

information had to be publicly disclosed through the SET's Electronic Information System within 30 November 2017. However, PACE has failed to meet the original deadline because the company would like to seek

own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation