SEC is welcoming public comments on a drafted notifications of the approval for offering of newly issued shares and information disclosure, applying to issuers and listed companies, in accordance
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment
securities trading decisions on behalf of client was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Atthapol from
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and
Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
Asset Advisor, Digital Asset Fund Manager, and Custodial Wallet Provider. In this regard, it is important to ensure that licensing process effectively screen the readiness and qualifications of the
). Moreover, audit firms will be enabled to screen quality of their auditors prior to filing with the SEC the applications for approval as capital market auditors in order to encourage the audit firms to take
and amendments in October –November 2024, for which the majority of respondents expressed support. The SEC has issued 13 notifications concerning the amendments** with key points as follows: (1
Thailand re: Disclosure of Information and Other Acts of Listed Companies Concerning Acquisition or Disposal of Assets B.E. 2547 dated 29 October 2004 (Notifications on Acquisition or Disposal). Based on the