this regard, SEC has included the Notification of the Department of Business Development regarding Measures for Handling the Spread of COVID-19 in Case of Possible Impact on the Holding of Juristic

notification of the Revenue Department’s Director-General.SEC Secretary-General Ruenvadee Suwanmongkol said that the SEC will (1) finalize the regulations establishing these funds by 16 March 2020, (2) waive

, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.*  In

The notification of the Ministry of Finance regarding prescription of conditions for securities company to apply for approval of person to be major shareholder defines the “Major Shareholder” as

.__________________________ Notes: *SEC news release No. 98/2018, published on 23 August 2018. **According to the Notification of the Securities and Exchange Commission No. Kor. Jor. 3/2560 Re: Determination of

Bank of Thailand (BOT).  ________________________Remark: * The Notification of the Securities and Exchange Commission No. Kor Tor. 30/2564 Re: Regulations on Quota Allocation for Foreign Exchange

Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Granting of Approval for Intermediary Personnel as Investment Analyst and Investment Consultant dated 18 January 2012 and Clause

such behavior for future reference.The above investment consultants' actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval

of duty is found.  The aforesaid misconduct 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

inappropriate and deemed as interfering with client's assets.As both investor contacts' actions are in violation of Clause 14(2) of the Notification of the Office of the Securities and Exchange Commission No