client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
Bangkok, January 8, 2014 ? The SEC announced the strategic plan 2014-2016 and key initiatives to kick off in 2014 emphasizing continued five key strategies to enhance supervisory efficiency, sharpen
and derivative business operators throughout such same period. * Clause 4 and Clause 31(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in
guidelines and market development.SEC Secretary-General Rapee Sucharitakul said: ?The amendments which have been approved recently by the Capital Market Supervisory Board aim to increase competitiveness of the
Bangkok, February 21, 2013 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved the amendment to rules governing advertisement and sales
authorization from client to make securities trading decisions on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for
behalf of the client. In this regard, Theera and Nongun?s actions were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for
Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duties of Analyzing Investment and Giving
duties honestly in violation of Clause 23(1) and characteristics of personnel in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8
violation of Clause 6(1) of the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Personnel dated September 14, 2010. Two-year