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
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
responsibility, due care and loyalty including breaching or failing to comply with the laws, objectives or articles of association, and the resolutions of the board of directors or the resolutions of the
and CEOs. Duties of loyalty and care are found in the law and responsibilities are spelled out in the Principles and listing rules. These include oversight of management and strategy, approval of
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
increasing 48.52 million or 26.06%, cause by the Company had administrative expense increase of Baht 11.40 million which is mostly caused by the company closely monitor collection and accelerated disposal of