violation of Clauses 20(1) and 20(5) 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
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Consideration method in accordance with the Notification of the Capital Market Supervisory Board No. TorJor. 20/2551 Re: Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorThor
On 22 March 2024, the Securities and Exchange Commission (SEC) collaborated with capital market organizations, namely – the Federation of Thai Capital Market Organizations (FETCO), the Stock
and deliberation as a professional. His misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended his approval as securities investment
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant
Bangkok, March 3, 2011- SEC Secretary-General Thirachai Phuvanatnaranubala emphasized that sustainable capital market development requires strong investor base. Nonetheless, most of the Thais are not
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause