positions while his capital market investment consultant status was also suspended, effective from September 6, 2014. Three capital market investment consultants, namely {B}, {C} and {D} as well as a
Limited (BSEC) based on nonpublic information he had known by virtue of his working positions. Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further investigation has revealed
information he had obtained by virtue of his positions to sell SLC shares and for imparting a false statement with the intention to mislead any person concerning facts sensitive to the SLC share price
Commission No. KorThor. 66/2547 Re: Maintenance of Financial Positions of Person Licensed as Derivatives Agent dated 22 December 2004 as amended by the Notification of the Securities and Exchange Commission No
Notification of the Securities and Exchange Commission No. KorThor. 66/2547 Re: Maintenance of Financial Positions of Person Licensed as Derivatives Agent dated 22 December 2004 as amended by the Notification of
from holding the director and executive positions at any securities issuing company and listed company. According to the referral from the Stock Exchange of Thailand (SET) and the SEC's further
, effective on 2 December 2016. He has invalidated his existing positions as director or executive of listed company (if any), and prohibited his future holding of such positions until such period ends
adverse impact on the stability of the system will also be prevented; and (3) On human resources, AFTC personnel are welcomed to work at the SEC in positions based on their knowledge, skills and experience