authorized director, causing the company to suffer losses. His action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation

. Notification of the Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for Obtaining Approval and Granting to Perform Trust Business ___________________________________ By virtue of

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

Vanatsavadee failed to perform duties or give services honestly. In addition, there was a reason to believe that she had failed to perform duties or provide services properly* and concealed wrongful acts while

, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana

investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the

Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with

performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended