Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
securities companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted
companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted by the
deemed that the intermediary has obtained an approval from the SEC Office to appoint such person: (1) the approved person to be fund manager; (2) the approved person to be REIT manager who has passed level
intermediary has obtained an approval from the SEC Office to appoint such person: (1) the approved person to be fund manager; (2) the approved person to be REIT manager who has passed level one of Chartered
information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct, and complete data processing
, and complete data processing which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it
accurate, complete, truthful and updated manner; (2) establishing a code of conduct or rules for securities transfers, pledges, securities attachments, issuance of new securities certificates and other
capital market.” Ms. Ruenvadee said: “The SEC Strategic Plan 2022-2024 is consistent and corresponds with the national direction, from the level of National Strategy to subsequent plans, including the Draft