. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading

succeed without having efficient internal units comprising (1) company secretary having duty to monitor the company and its executives to comply with laws and keeping important information, (2) internal

more effective and efficient. The seminars among the AARG members, which are held regularly, help ensure that each participating country can apply the knowledge in adapting their regulatory activities to

Pittayasophon, provided an update on the progress of the Strong Securities Issuers Project to enhance the quality of listed companies and the duty performance of personnel in the capital market, with the main

SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC has the duty to supervise and develop the Thai capital market. One of our key responsibilities is to help increase businesses’ access to

Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test

prepare and submit the accurate financial statement for the year 2016 specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty

which is a duty required to be performed. SEC Act S.300 Settlement Committee Meeting No. 10/2017 Settlement Committee Order No. 90/2017 Dated 15/11/2017

prepare and submit the accurate annual report for the year 2016 (Form 56-2) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty

financial statements for Q1/2017 and Q2/2017 within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC