for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. _____________ Notification of the

person not the owner of securities trading accounts were failure to perform duties with responsibility and due care as the capital market professional, disguising that trading decisions were not actually

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

. 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

Pursuant to Section 89/25* of the SEA, the auditor who perform an audit in accordance with the auditing standards has the duty to report to the Audit Committee of the securities company** or the

Pursuant to Section 89/25 of the SEA, the auditor has the duty to report suspicious circumstances that were found from the audit in accordance with the auditing standards. SEC therefore proposes

contributors and the editor of this publication accept no responsibility for loss occasioned by any person acting or refraining from action as a result of any views expressed in these pages. No one should act

company. DIVISION 2 DUTY AND RESPONSIBILITY OF DIRECTOR AND EXECUTIVE SECTION 89/7 In conducting the business of the company, a director and an executive shall perform his duty with responsibility, due care

Governance of Publicly Traded Company - Definition (Section 89/1) - Qualifications and the removal of directors and executives (Section 89/3 - 89/6) - Duty and responsibility of directors and