concealing material facts that should have been stated; (3) failing to perform duties as director or executive (4) allowing any person to use one’s own securities trading account or banking account for payment
amount of damage to several clients.Pisist's misconduct above is deemed a failure to perform duties honestly in accordance with the Notification of the Capital Market Supervisory Board*. The SEC has
effective from May 30, 2015. * Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
from May 30, 2015. * Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
. *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment
the SEC, in materiality. The said actions were also failure to perform the duties as professionals with prudence, due care, knowledge, capability and experience and considered as prohibited
Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of
Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited