materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
securities and derivatives businesses.In addition, SEC introduces additional regulations on operating businesses like a professional to all types of digital asset business operators. Examples include servicing
client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of
their professional ability to give appropriate information to investors. In making appropriate adjustments and enhancing practicality for the industry, the SEC has taken into consideration comments and
group behaviors of these persons demonstrated their dishonest tendency right from the beginning of their professional career, and thus threatened potential misconduct to clients in the future. As a result
to perform duties responsibly with professional due care in violation of the Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the administrative sanction whereby her
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
Bangkok, June 2, 2014 ? The SEC notified Professional Waste Technology (1999) Plc. (PRO) to rectify its Q1-3/2012 financial statements due to limitation on scope of review imposed by PRO management
discussion were Lt.Gen.Bunjerd Tientongdee, Director - General, Defence Information and Space Technology Department and Prinya Hom-Anek, President and Founder of ACIS Professional Center Co., Ltd and a member
regarding unfair securities trading activities. (7) not having the following prohibited behaviors; lack of professional ethics or violation of or non-compliance with the regulations