derivatives warrants and investor self- assessment tests. SEC Secretary-General Pornanong Budsaratragoon said: “The SEC emphasizes the importance of our collaboration with the Investment Banking Club, which
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
their professional roles are concerned, to ensure sustainable returns for their clients. In addition, to earn a recognition for good corporate governance practices, an institutional investor should put in
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly without professional due care is in violation of Clause 23(2) and he is deemed to have the prohibited
professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions: (1) {D
responsibibly and carefully as professional under Clause 23(2), which are deemed prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory
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
profits from the order. SEC views that {A}’s act did not comply with the investor’s order and was deemed failure to perform duties with responsibility and deliberation as a professional**. SEC has