with the principles and the draft regulations. The SEC has therefore issued a notification specifying the amended regulations with the key points as follows: 1. Requirements regarding the check and
regulations on private placement by SMEs is available at https://www.sec.or.th/TH/Pages/LawandRegulations/SME-PP.aspx. ______________________ Notes:*- Notification of the Securities and Exchange Commission
is available at https://www.sec.or.th/TH/Pages/LawandRegulations/SME-PP.aspx. ______________________Notes: *- Notification
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
committing undue acts toward his clients? assets and using a client's trading account to trade securities for his own interest and was deemed offenses under the Notification of the Capital Market Supervisory
Sanction Committee, they have become persons having untrustworthy characteristics for holding the position of company director and executive pursuant to the Notification of the Securities and Exchange
to seek benefits for themselves, which was deemed failure to perform duties or provide services with loyalty pursuant to the Notification of the Capital Market Supervisory Board.*The SEC has revoked
decision,? said Mr. Rapee. ________________________ * - The SEC Office Notification No. Sor Thor. 25/2559 Re: Rules in Detail concerning Advertisement and Sale Promotion of Securities and Derivatives
Clause 20(5) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Intermediaries to Perform Duties of Analyzing Investment and Giving
March 23, 2015. * Failure to completely record client?s trading orders was in violation to Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for