Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated 18 January 2012, which is deemed a prohibited characteristic of capital market business personnel under Clause 6(1) of
the penalties under the second paragraph of Section 281/2 of the SEA, in conjunction with Section 86 of the Penal Code. The SEC has therefore filed the criminal complaint against the three offenders
company, {A} has also contravened Section 89/7 by failing to perform duties responsibly and honestly, which is liable to the penalties under the second paragraph of Section 281/2 of the SEA, in conjunction
recently approved regulations on municipal bond offerings by public sector organizations under the Securities and Exchange Act B.E. 2535 (1992). The regulations, to be effective on January 1, 2015, will
executive. The company?s reason for not setting such allowance was merely based on the quote from such former executive that he would have his assets sold in order to pay his debts and NIPPON securities under
report, the SEC probed into the case and found that the said companies and persons, without obtaining license under Section 90 of the Securities and Exchange Act B.E. 2535 (SEA), jointly operated
Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor
Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of
characteristics under the SEC Office Notification concerning financial advisor approval and scope of performance B.E. 2552. The SEC, therefore, revoked the financial advisor supervisor approval granting to {A}.In