Sanction Mr. Wiwat Chiamvitayanukul Performing duty as marketing officer without taking into account clients? interests by supporting clients to

Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21, 2000, clause 14 (6) and 14 (13) (as amended) Suspension from duty for 9 months

Bangkok, September 11, 2014 ?The SEC is seeking public comment on draft regulations on termination of listed company?s duty to disclose information under  Section 56 and duty of directors and

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

refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty

and accurate information in 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

asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1)  Be independent from the asset management

Perform Duty of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from performing duties of investment consultant for six months. Taking into

Bangkok, 24 November 2017 ? The SEC urges investors to read important information on the prospective listed companies to examine duty performance of company directors and executives before making

equal information access for all investors, as deemed necessary and useful. In any case, the Company has the duty and responsibility to disclose accurate and sufficient information that should be informed