Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the Notification of the Capital Market Supervisory Board No

Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the Notification of the Capital Market Supervisory Board No. Tor

(supervisory cooperation) และแนวทางการจัด supervisory symposium เพื่อแลกเปลี่ยนประสบการณ์และแนวทางปฏิบัติในการประชุม APRC ครั้งนี้ ก.ล.ต. ยังได้รับความเห็นชอบจากที่ประชุม ซึ่งปัจจุบันมี Mr. Jun Mizuguchi จาก

regulatory and supervisory framework of the Thai capital market are enhanced to be among those of the leading countries. Under the PFMI assessment, the SEC has received fully observed in all supervisory areas

must be reported and the procedures for obtaining facts relating to such circumstances shall be in accordance with the Notification of the Capital Market Supervisory Board

amount of damage to several clients.Pisist's misconduct above is deemed a failure to perform duties honestly in accordance with the Notification of the Capital Market Supervisory Board*. The SEC has

amount of damage to several clients.Pisist's misconduct above is deemed a failure to perform duties honestly in accordance with the Notification of the Capital Market Supervisory Board*. The SEC has

take comments from all parties into consideration and revise the regulations more properly.” SEC will present the public hearing’s results to the Capital Market Supervisory

investors in accordance with the Notification of the Capital Market Supervisory Board regarding Application for and Approval of Public Offering of Newly Issued Debt Securities and the Notification of the

and deliberation as a professional, and {B}'s was a failure to perform duties or provide services honestly. Both cases were in contravention of the Notification of the Capital Market Supervisory Board