unlawful personal gains in violation of the Notification of the Capital Market Supervisory Board concerning Rules on Capital Market Personnel*. The SEC has therefore revoked the approval as equity investment

 {A} and {B} were deemed a failure to perform duties with responsibility and deliberation as a professional in contravention of the Notification of the Capital Market Supervisory Board*.The SEC has

executives of securities issuers and listed companies in accordance with the rules prescribed in the SEC Notification** and consequently is not allowed to hold the positions of director and executive at any

above were deemed non-compliance with Clause 14(2) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investors Contacts and Standards of Conduct dated 14 October 2009, which stated that

SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of

) 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 and Investment Consultant dated

(3) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the Notification of the

for Identification and Supervision of Domestic Systemically Important Banks (D-SIBs) Bank of Thailand issued Notification of BOT No. SorNorSor.16/2560 regarding Guidelines for Identification and

2 The above transaction is considered a disposal of assets in accordance with the Notification of Capital Market Supervisory Board No. Tor Chor. 20/2551 regarding Rules on Entering into Material

Microsoft Word - GSC013_?????????????-Eng-revised ELCIDGSC013/2019 17 July 2019 Subject: Notification of the Resolution of the Board of Directors’ Meeting No.6/2019, The Providing of Financial