Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved capital market investment consultant for six months. Taking into account that he had
-application for approval as capital market personnel for 4 years. Taking into account that {A} had already been suspended from her duty as securities investment consultant by her employer for 3 months; the
behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved
*. The SEC, therefore, suspended Acting Subbieutant Saroj from his duty as the approved securities investment consultant for a year and 2 months. Having considered that {A} had already been suspended by
การใช้ดุลยพินิจพิจารณาความเป็นธรรม และความสมเหตุสมผลของรายการที่เกี่ยวโยงกัน เนื่องจากการใช้ดุลยพินิจดังกล่าวอยู่ในหน้าที่ความรับผิดชอบของกรรมการและผู้บริหารของบริษัทจดทะเบียน (fiduciary duty)”ทั้งนี้
duty with responsibility and deliberation as a professional. Her misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended her approval as
incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility
a filing and a prospectus and lessen a duty for digital token portals.Given high risks and uncertainties of a project during pre-ICO and private sale, and limited information disclosure to
benefits from investors by abusing their duty performance no matter with or without clients? consent, and must not ask for or accept any special benefit other than what is properly earned from the securities
. However, Mr. Suphanan failed to perform his duty as directed and submitted a clarification letter to the SEC. The SEC considered his explanation inadmissible. The SEC has viewed that Mr. Suphanan’s