client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint

. Every operating system Public task basis 3. Disclosure of Personal Data After the SEC Office has received personal data from other sources, the SEC Office has the responsibility to disclose your personal

or through mutual agreements. The chapter also supports stakeholders’ access to information on a timely and regular basis and their rights to obtain redress for violations of their rights. V

supplementary to the Thai version thereof. Please note that the translation has not been subjected to an official review by the SEC Office. The SEC Office, accordingly, cannot undertake any responsibility for its

business of the company, a director and an executive shall perform his duty with responsibility, due care and loyalty, and shall comply with all laws, the objectives, the articles of association of the

• Key contribution: Only one other laboratories. Not all financial institutions can capture regulators. Regulator roles different. IMPORTANCE OF INVESTMENT ADVISERS IN USA FIDUCIARY DUTY • In USA

clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the

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

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