information and listed company executives? duty performance without due care, resulting in the total 31-million-baht civil penalty and the total 19.6-million-baht compensation for the equal amount of benefits

with responsibility, due care and loyalty. As a result, the Civil Sanction Committee ordered {A} to pay a civil fine, compensate the SEC for any expenses incurred from investigating the offence, and

and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in

Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws

by providing their trading accounts to be used. In addition, {B} also helped place trading orders while {C} and {D} took care of the withdrawal of cash collateral or payment for trading of RICH shares

draft prospectus for initial public offering of shares. The SEC's probe found that {X1} Company and {A} did not exercise due care in verifying relationships between the applicant and a company in the case

clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the

materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of

strong growth potential and outstanding performance of many Thai industries, namely, hotels and resorts, health care service with potential to be Asia?s medical hub, innovation-related businesses and

(6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and