derivatives on behalf of client was failure to perform duties with responsibility and due care as the capital market professional under the Notifications of Capital Market Supervisory Board concerning personnel
person not the owner of securities trading accounts were failure to perform duties with responsibility and due care as the capital market professional, disguising that trading decisions were not actually
failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory
care for the best interest of investors. The suspended persons are (1) {A} and (2) {B}. According to a report from KBANK and the SEC's further inspection, {A} was found to have signed on a unit
the board of directors of listed companies is obligated to perform duties with care, responsibility and honesty in accordance with Section 89/7 of the Securities and Exchange Act, the SEC, by virtue of
Transforming Economy,? attracting world-famous speakers to share their experience on corporate culture development for sustainable business as a means to handle new challenge and take care of shareholders and
consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
Development and Human Security (MSDHS). The theme of the event is “Super Thai Kids Care About Saving”, under which the SEC is one of the attendants to open booths therein, where over 1,000 kids between 6-12
for their decision making since the directors and executives are obliged to provide information and opinion on appropriateness of the transactions, with due care and honesty in order to protect benefits
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such