without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam

the same day. Saowarat’s misconduct according to (1) is deemed failure to perform duties or provide services with loyalty by misappropriating client assets, and according to (2) is deemed acting

encourage the personnel of listed companies to be aware of their roles and duties which are highly critical to the Thai capital markets. Ms. Jomkwan Kongsakul, SEC Deputy Secretary-General, gave the

the personnel of listed companies to be aware of their roles and duties which are highly critical to the Thai capital markets. Ms. Jomkwan Kongsakul, SEC Deputy Secretary-General, gave the opening

investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has

their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex

any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly without professional due care is in violation of Clause 23(2) and he is deemed to have the prohibited

their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

Bangkok, 3 August 2023 –  SEC has ordered a revocation of an investment consultant approval on Mr. Teerasak Tipboonsri for 10 years for failure to perform duties with loyalty, misappropriating

perform duties or provide services with loyalty by committing wrongdoing against investor assets. Both cases constitute prohibited characteristics for personnel in the capital market business under the