the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the Notification of the
liquidity management tools, and stress test on liquidity risk according to international standards. On 20 October 2020, the Capital Market Supervisory Board Meeting No. 17/2563 passed a resolution
personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
. ** Pursuant to Clause 30(3)(a) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the
unprofessional performance of duties in contravention of the Notification of the Capital Market Supervisory Board. The SEC has therefore imposed a 12-month suspension as a capital market investment consultant
investment upon approval of the SET Board of Governors, and (4) the composition of the CMDF Board shall be restructured. The received public comments and the Ministry of Finance's resolution from the previous
, jeopardizing its listed company status and trading of company shares in the future. Although, ADAM board of directors agreed with IFA?s opinion, the board was of the view that it is shareholders? right to make
of the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business*. The SEC has therefore imposed a six-month suspension on {A}, effective from 12
Bangkok, April 17, 2012 ? SEC Secretary-General Vorapol Socatiyanurak reveals that the Capital Market Supervisory Board has approved revision on regulations to allow retail investor to make overseas