with responsibility, due care and loyalty. As a result, the Civil Sanction Committee ordered {A} to pay a civil fine, compensate the SEC for any expenses incurred from investigating the offence, and
or provide services with loyalty* by concealing, hiding and fabricating false evidence, and therefore revoked the approval and will not accept her future application for approval as personnel in the
act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the
services with loyalty* by concealing, hiding and fabricating false evidence, and therefore revoked the approval and will not accept her future application for approval as personnel in the capital market
damage at the amount of 20,000 baht. SEC has considered that Sorrapon failed to perform duties with loyalty* by committing wrongful acts against the investor’s asset, which was deemed a prohibited
related industrial factor, including managerial direction of an entity issuing capital market product and various business risks and [ii] analyzing past and present performance so as to forecast future
of an entity issuing capital market product and various business risks and [ii] analyzing past and present performance so as to forecast future performance. “ technical analysis ” means an analysis by
be clearly specified, members’ savings sufficiency must be notified through post-retirement savings forecast, and standards of regulations and PVD registration must be specified, to reduce private
regard, the SEC urges investors to be cautious in making use of news coverage on securities offering or fund establishment and listed companies? profit forecast, if it has not approved by the SEC or not
forecast of 3.5 percent, due to anticipated weakness in developed economies throughout the first half of 2019. The global slowdown will not only dampen the international trade and investment atmosphere, but