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
revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
trading orders once the prices match the target. Obtaining authorization to make derivatives and securities trading decisions on behalf of clients was in violation of the Notifications of Capital Market
orders where the purchase were initially paid by her family's money and later by her own money.Using client's account to trade securities for her own benefits was in violation to the Notifications of
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
behalf of client and seeking benefits from the client during the performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
in investments without active involvement in management. This includes investments in securities, derivatives or digital assets at a collective total exceeding 40 percent of the total assets as per the
the near future. ?The SEC has placed importance and played active roles in MCMC forum and I am very pleased that other Mekong jurisdictions have done the same. We agreed that the meeting will be held
Accounting Professions (FAP), we have agreed to formulate a collaborative effort to enhance financial reporting quality to be in line with international standards and to promote more active roles of financial
transactions and the transaction size is not deemed as an acquisition and disposal of assets pursuant to the notifications of the Capital Market Supervisory Board and the Stock Exchange of Thailand. Please be