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
responsible and careful duty performance. He consequently possessed prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor Lor
bond liquidity, investors’ knowledge on debt securities, intermediaries and market professionals’ duty performance, the development of shared infrastructures and market database, and high-risk debt
collateral placement, selection of securities, data processing and data reporting to the management, agreement with investors and additional conditions in the case where business operators have the duty to
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and
Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months
capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Taking into account that {A} had already been suspended by her employer; the
Securities and Exchange Act 1992 (SEA). Under the SEA, other than shareholders? approval, ADAM board of directors has the duty to comply with the Act which prescribes that acquisition or disposal of
his duty as the approved capital market investment consultant for 8 months. Taking into account that Atthapol had already been suspended by his employer for 15 days; the suspension imposed by the SEC