to Capital Market Which Are Not Deemed an Undertaking of Derivatives Businesses For Which an Approval Is Required; 4 (b) procedure and method of trading of the service offering system and in case of
audit firms in the capital market, requesting their cooperation in giving more importance to a strict audit quality control system with regard to protection of clients’ confidentiality. The SEC will
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
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prescribed in Part 3. Clause 11 The audit firm whose auditors have been approved as auditor in the capital market shall have the following characteristics: (1) having audit quality control system which is
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market
Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core