executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core
characterized as a collective investment scheme (CIS)*, whose CIS operator is under the supervision of a foreign securities regulator that is an ordinary member of the International Organization of Securities
performance of personnel in the capital market. These initiatives fall under the Strong Securities Issuers Project and focus on preventing, deterring and suppressing inappropriate behaviors and misconduct. A
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investment decisions. Investor education, market discipline and stakeholder participation are also emphasized apart from supervision and enforcement.Mrs. Sirivipa Supantanet, SEC Assistant Secretary?General
confidence in fundraising and investment, aiming to make the capital market a fundamental mechanism for sustainable economic growth. We will collaborate with the AIMC, which plays a key role in promoting
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law
securities issuance together with proper supervision, considering the practicality relating to electronic securities such as transfer and delivery, registry, and the use as collateral and its enforceability