Bangkok, August 29, 2014 ? SEC supports commercial banks to emphasize on social responsibility and join Collective Action Coalition (CAC) by aiming to obtain the CAC certifications by 2015.Chalee
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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
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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
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