instruments of which the credit was not rated and found defects in consideration of important information or factors with respect to the issuer, and this affected its capability to repay the principal and

civil sanctions on Surin.  However, he did not agree to comply with civil sanctions determined by the Civil Sanction Committee.  SEC, therefore, requests the public prosecutor in writing to file a

to resign from any position or office; - Has not caused the suspension of its license for failure to pay the required annual fee. Appendix 1: Handbook on ACMF Pass under ASEAN Capital Market

Earlier, the Civil Sanction Committee resolved to impose civil sanctions on Mr. Thanawat, who was IFEC director and executive at the time of the offence. He was ordered to pay a civil fine and

act.?As the Executive Chairman of Apple Wealth Securities, {A} was involved in the company's misconduct and failed to perform supervisory duties. He approved the opening of trading accounts and the

consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to

GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official

for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company, claiming that such company was in the listing process of the Stock Exchange of Thailand (SET), when

refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty

to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was