failure to perform duties or give services with loyalty, responsibility and deliberation as a professional in contravention to the Notification of the Capital Market Supervisory Board.* SEC has therefore

that related parties are able to perform their respective duties to the fullest capacity. This is to support a well-balanced financial reporting ecosystem and enhance the quality of financial reports of

executives of listed companies are required to perform fiduciary duties by considering the matter responsibly, cautiously and honestly for the best interest of the companies. In case of digital asset

Pursuant to Section 89/25* of the SEA, the auditor who perform an audit in accordance with the auditing standards has the duty to report to the Audit Committee of the securities company** or the

inquiry official will perform an investigation before recommending the case to the public attorney who has authority for prosecution. The power to adjudicate whether any person is guilty or not is, however

, 2014.Note:  Clauses 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing

client is in violation of Clause 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

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

perform an investigation before recommending case to the public attorney who has authority for prosecution. The power to adjudicate whether any person is guilty or not is, however, vested on the court of

Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. The said actions were also classified as prohibited characteristics of personnel in capital market according to Clause 6