) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated
Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the
/?subsection=display_committee&cmtid=6 • IOSCO Board Member In addition to playing an active https://www.sec.or.th/EN/Pages/AboutUs/InternationalRelations.aspx
Meeting 2/2019 held in Japan in October 2019. This opportunity reflects once again the confidence of the international regulators in SEC Thailand as the IOSCO APRC host, thanks to our active
held this workshop, where knowledge and experiences would be shared for the purpose of active and swift operation, such knowledge include, collecting and inspecting evidence, procedures regarding
account long-term benefit to the company, providing that ESOP participants must have specified qualifications and be active agent when exercising his or her right to purchase securities under ESOP. Besides
most recently, the Growth and Emerging Market Steering Committee. The SEC has placed importance and played active roles in various IOSCO projects and implementing the IOSCO principles and standards. The
into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the
Class 1 - Acquisition and Disposition of Asset Transaction with values less than 15%. Therefore, the Company are not required to perform any disclosure under the obligation of such Notification. Page 2