investor contact should not support, instruct or cooperate with any person to act in violation of law on securities and exchange and regulations. The SEC, therefore, suspends {A} from performing duties as

Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 (No. TorLorThor. 3/2555) while trading on behalf of client and making securities

board members to perform their duties with honesty and due care in disclosing listed companies? material information.?    Information contained in this news release is as of the aforementioned release

audit committees so that they will be able to perform duties more forcefully, and encourages listed firms to join the Anti-Corruption Organization of Thailand, a proactive initiative of the private sector

Tarapoom said: ?Our members all agree that we should adopt the Code. This reaffirms the power and responsibility of institutional investors as a fund manager who must perform their duties responsibly

. 37/2553. The SEC therefore suspended {C} and {D} from duties as approved securities investment consultant for three months.

personnel in the capital market business under Clause 31(1) of No. TorLorThor. 8/2557. The SEC, therefore, revoked the approval from their duties as securities investment consultants and will not consider

and prohibited him from performing duties of securities company executives for two years. (4) {D}, an investor contact of KTB Securities Co., Ltd., provided a trading account for Sippakorn to trade

failure to perform her duties or provide services with honesty and good faith, which is deemed a prohibited characteristic for capital market business personnel under the Notification of the Capital

of a juristic person – ordered or acted, or failed to order or failed to act, in accordance with their duties, causing PPPM to commit the offense in this case. As a result, they are subject to the