. 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 characteristics of
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
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
Investigation (DSI) for (1) failing to perform duties responsibly, carefully and honestly, (2) seeking unlawful gain for himself or other persons causing damage to the company, and (3) committing or permitting
derivative warrants of 90 companies, amounting to the total trading value of approximately 130 million baht.By accepting a client's assignment to make investment decisions for the client, {A} failed to perform
incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility
the Securities and Exchange Act of 1992 (SEA), and because CGH is a listed company, Chupong has also contravened Section 89/7 by failing to perform duties responsibly and honestly, which is liable to
company, {A} has also contravened Section 89/7 by failing to perform duties responsibly and honestly, which is liable to the penalties under the second paragraph of Section 281/2 of the SEA, in conjunction
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
considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee