securities trading decisions on behalf of client was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Atthapol from

violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and

Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months

materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of

/?subsection=display_committee&cmtid=6     •  IOSCO Board Member   In addition to playing an active https://www.sec.or.th/EN/Pages/AboutUs/InternationalRelations.aspx

Meeting 2/2019 held in Japan in October 2019. This opportunity reflects once again the confidence of the international regulators in SEC Thailand as the IOSCO APRC host, thanks to our active

held this workshop, where knowledge and experiences would be shared for the purpose of active and swift operation, such knowledge include, collecting and inspecting evidence, procedures regarding

account long-term benefit to the company, providing that ESOP participants must have specified qualifications and be active agent when exercising his or her right to purchase securities under ESOP.  Besides

most recently, the Growth and Emerging Market Steering Committee. The SEC has placed importance and played active roles in various IOSCO projects and implementing the IOSCO principles and standards.  The

central securities depositories are effective and secured so that they can maintain confidentiality, accuracy, and credibility of information, remain active for use, and properly monitor potential risks to