in the capital market*, the SEC, therefore suspended the approval as capital market investment consultant of {A} for 9 months. Having considered that she had already been suspended by her employer for
, the suspension imposed by the SEC shall remain one month. Also, the SEC imposed on {B} 2 month suspension of the approval of capital market investment consultant, effective from June 5, 2015.
had expired earlier, the SEC will consider an application for approval as capital market personnel after the period of nine months, starting from April 11, 2013.
Operating Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the
Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the Capital
for his remaining approved status. The rest of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel. The SEC's order has been in
of capital market. The SEC discussed this urgent matter with relevant parties, held training courses and seminars for auditors interested in applying for the approval as capital market auditors
violation of Clauses 20(1) and 20(5) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis
the approved applicant for a public offering of debt securities in a medium term note program (MTN) under the Notification of the Capital Market Supervisory Board Re: Application and Approval for Public