violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital
*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Having considered that {A} had already been suspended by her employer for a month, the
to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product
system, especially big companies and financial institutions, inevitably disclose the impacts on climate in accordance with Task Force on Climate-related Financial Disclosures (TCFD) which has four main
As a capital market regulator, the SEC is Thailand’s first governmental agency to have become an official supporter of the Task Force on Climate-related Financial Disclosure (TCFD) since 30th
นายวรพล โสคติยานุรักษ์ เลขาธิการ ก.ล.ต. กล่าวว่า ?ก.ล.ต. ติดตามผลการประเมินการปฏิบัติตามมาตรฐานสากลด้านการป้องกันปราบปรามการฟอกเงินและการต่อต้านการก่อการร้ายที่ Financial Action Task Force on Money
3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit
by utilizing trust to create the investment vehicle having company with expertise in real estate investment and management perform duty of REITs manager.REIT regulations are partially similar to those
the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant for 4