Commission hereby issues the following regulations: Clause 1. In this notification: “Derivatives fund manager” means any person licensed or registers to undertake derivatives business in the category of

Exchange Commission hereby issues the following regulations: Clause 1. In this notification: “Derivatives fund manager” means any person licensed or registers to undertake derivatives business in the

Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the audit firm

credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such

Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of

Mr. Kriengkrai lertsirisamphan Mr. Kriengkrai lertsirisamphan, the chairman of the executive committee (acting) and the managing director (acting) responsible for the operation of Professional Waste

capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.*  The SEC therefore suspended her from duty as the approved

by adhering to ethics and professional standards issued by the association and approved by the Office, mutatis mutandis , only the part of investment management. Clause 12. In cases where the person

Problems” means a person who makes decisions to invest in real estate or leasehold right, select or propose to the unitholders or his designated person who makes decisions on investment in real estate or