benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a

acceptance of financial assistance from a related company, despite the transaction had a major impact on the applicant?s business operation.Weerawat?s actions as financial advisor supervisor while working with

listed companies, which need investor and stakeholder recognition and acceptance. Moreover, it will motivate other investors to see the importance of making investment in those adhering to anti-corruption

market*, the SEC therefore set the period for acceptance of his re-application for approval as capital market personnel for 15 days. Having considered that {A} had already been suspended by his employer

the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know

period was instead set as the period for acceptance of his re-application for approval as capital market personnel, effective as from October 9, 2014.  

of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel, effective as from October 27, 2014. For {B}'s case, the SEC suspended

Capital Market dated June 3, 2014, which would be subject to revocation of an approval as fund manager and setting the period for acceptance  of re-application for approval as capital market personnel for

suppression of improper behaviors of listed companies. The webinar also aimed to communicate and build the understanding of revisiting rules and oversight measures that the SEC and the SET have revised to

focused on cyber-threats, problems, obstacles, process of legislation, policies, and oversight, including best practices to ensure that the critical information infrastructure (CII) of the financial