: duangkamol@sec.or.th, pitchal@sec.or.th, or nuchanat@sec.or.th. The public hearing ends on 19 May 2022. _______________________Remarks: * The Notification of the Securities and Exchange

SEC Secretary-General Ruenvadee Suwanmongkol stated that the SEC Board Meeting No. 12/2564 held on 9 June 2021 had passed a resolution approving the Notification of the Securities and Exchange

SEC has a plan to revise the relevant notification to allow investment consultants of  operators of securities and the derivative contract business, who have expertise in investment and keeping

specified in the Notification of the Capital Market Supervisory Board*. The SEC has therefore ordered the 18-month suspension on {A}'s capital market investment consultant approval, effective from 21 October

client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing

provide securities trading service to the account owner or submit trading orders of the written authorized persons action were deemed failure to perform duties which were in violation of the Notification of

—within 180 days from the effective date of the notifications.Notes:* Four relevant notifications are:  1. The Notification of the Ministry of Finance Re: Prescription of Conditions for Securities Company

of Thailand within the period specified in the notification. The statute of limitations ran out. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 27/06/2017

, 2016 and February 29, 2016 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements was later submitted to

, 2016 and May 16, 2016 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements was later submitted to the