with Section 83 of the Penal Code and Section 315 of the SEA (as the case may be). Moreover, Vijchu’s acts in particular, are deemed failure to perform duties as a private fund manager with honesty and

her employement and had her pay compensation to the inflicted client in full.Panita and Nitchawan have failed to perform their duties or provide services honestly. Their misconducts were deemed wrongful

consultant. Institutional investors should ensure that the third parties perform the assigned functions in accordance with the investment governance policy.2. The I Code comprises seven principles as follows

Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended

Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which

warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance

consult the auditor before conducting review in depth. Nonetheless, there was no indication that the audit committee failed to perform the duties to assist the wrongdoing of TUCC executives. The SEC

November 8, 2014. *Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2012 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and

to be complied with, the SEC Office may perform the following: (1) establish rules in clear detail to enable derivatives clearing houses to practice in a consistent manner; (2) set out detailed

trustee and the REIT manager shall perform their duties with the scope of authority, duty and responsibility as stated in the relevant particulars of the authority and duty of the trustee and the REIT