In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
to perform duties responsibly with professional due care in violation of the Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the administrative sanction whereby her
order was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved securities
Bangkok, May 12, 2015 ? The SEC published 2014 Independent Audit Inspection Activities Report covering inspection of 12 audit firms and working papers of 46 approved capital market auditors. The
closely monitoring the situation and assessing possible impacts, placing importance on efficient risk management under the supervision of the Risk Oversight Committee, 8 Market Risk Management Sub-committee
in Capital Market Act B.E. 2550 (2007), the SEC Office hereby issues the following regulations: Clause 1 In this Notification: “trust” means the infrastructure trust created under the Notification of
. Prachnon Termritikulchai therefore a connected person under the Notification of the Capital Market Supervisory Board No. TorChor. 21/2551 regarding the rules on connected transactions ( as amended) and the
therefore a connected person under the Notification of the Capital Market Supervisory Board No. TorChor. 21/2551 regarding the rules on connected transactions ( as amended) and the Notification of The Stock
of NRI CIS: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund Capital-Guaranteed