The meeting discussed significant and challenging issues such as harmful, but legal conduct. In this regard, the SEC Secretary-General shared her view on the importance of information disclosure

{G}. The SEC found from the routine inspection that {A} frequently failed to record her clients' derivatives trading orders while {B}, {C}, {D}, and {E} frequently failed to record their clients

executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems

negligent with regard to supervision of the company?s core work systems.   Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s

, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard

the law*. The SEC, therefore, sanctioned the said four persons and the executive by suspension the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns

Sasavat Sirison Between October 8, 2019 and November 4, 2019. Mr. Sasavat Sirison’s wife, changed her Sahakol Equipment Public Company Limited (“SQ”) securities via her nominee's securities

Boutique New City Public Company Limited (“BTNC”) shares held by herself, and person under section 258 resulting in her aggregate number of shares held by other person exceeded trigger point at 25 percent of

11 March 2024).               In the event that any client does not notify his or her intention or claim assets within deadline, Zipmex must arrange for the deposit of the client’s assets in a

partly due to the fact that Jeeraporn, former assistant auditor, had disclosed the draft financial statements of the clients under responsibility of her audit group to her sister Jeeranan when she knew or