understanding about rights and duties of DR holders and issuers as well as applicable fees. 

market personnel for ease-of-use; for example, qualifications, approval process, and duties of the capital market personnel. The draft rules also include a wealth advisor as a new type of capital market

Bangkok, May 15, 2015 ?The SEC is seeking public comment on revisions of rules for securities and derivatives business operators in the areas of fiduciary duties, organization structure, operating

securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the

Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The

securities trading orders is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of

to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that Zipmex has duties to submit the report of penetration test result to the SEC office within

Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide a structure for managing, the work system including

Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel

and Mr. Winyoo Amnuaysombat colluded and divided duties with each other to sell and purchase Asia Corporate Development Public Company Limited (ACD) shares continuously in a way of concealment so as to