the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered

sustainable development of the respective capital markets. In the initial phase, the SEC has developed Additional Guidance for disclosing sustainability information for Hong Kong's ESG Funds, intending to

ในระยะแรก ก.ล.ต. จึงได้จัดทำ Additional Guidance ซึ่งเป็นคู่มือด้านการเปิดเผยข้อมูลด้านความยั่งยืนของกองทุนรวมเพื่อความยั่งยืน (ESG Fund) ฮ่องกง ที่ประสงค์จะติดตราสัญลักษณ์ SRI Fund ในการเสนอขาย

prepare and submit the accurate financial statement for the year 2016 specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty

prepare and submit the accurate annual registration statement for the year 2016 (Form 56-1) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction

prepare and submit the accurate annual report for the year 2016 (Form 56-2) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty

financial statements for Q1/2017 and Q2/2017 within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC

prepare and submit the reviewed financial statements for Q2/2017 within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to

offering for sale newly issued securities in the category of debentures without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instruction or

instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.33 Settlement Committee Meeting No. 7/2023 Settlement Committee Order No. 66/2023 Dated 09/08/2023