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

related companies at the upcoming shareholders? meeting on September 25, 2014. Earlier, ADAM announced to seek shareholders? approval on 9.46 million baht disposal of assets of its subsidiaries, affiliates

' securities trading orders. All of them admitted that the unrecorded orders were taken via mobile phone. The SEC therefore suspended them from duty as approved investment consultant for one month. For {F} and

applicant fails to comply with the post-approval conditions.   The amendments on whitewash are in accordance with the existing principles whereby the applicant shall be granted a waiver provided that the

re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for three months and {B

are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment

capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.*  The SEC therefore suspended her from duty as the approved

placement, the Capital Market Supervisory Board approved the revision of private placement rules to require the listed companies? board of directors be responsible for consideration on reasonableness of

Bangkok, May 12, 2015 ? The SEC published 2014 Independent Audit Inspection Activities Report covering inspection of 12 audit firms and working papers of 46 approved capital market auditors. The

this year. The Capital Market Supervisory Board approved the revision of regulations concerning cross-border offerings of debt securities and CIS in line with ASEAN Capital Markets Forum (ACMF)?s