characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her

investment service provider. To perform their roles and responsibilities, personnel in the capital market need to acquire knowledge and understanding of the ESG principles and apply them in providing

Association (TISA), and the Institute of Internal Auditors, Thailand (IIAT), co-organized a panel discussion on cybersecurity for risk management and IT audit personnel of business operators in the capital

SEC Secretary-General Ruenvadee Suwanmongkol said: “Due to the current situation of the COVID-19 outbreak, SEC has issued this support measure to help personnel in the capital market business to

pay interest, constituting an offense. The Investment Committee is considered to have the prohibited characteristics to act as personnel in the capital market business.** The SEC has suspended Mr

account, and using the client?s securities trading account for his own benefits were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the

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

Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for two months, effective from February 9, 2015

the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. For the appointment of the independent director under the first paragraph, the intermediary shall