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
equally stringent regulations as those applied to IPOs; (3) Revising regulations on investor alerts and delisting of the securities in which companies displaying inappropriate behaviors; and (4) Revising
undertaking derivatives business without license. In combating and suppressing against illegitimate businesses, the SEC also alerts investors in this matter and strongly advises them to check whether the
and amendments in October –November 2024, for which the majority of respondents expressed support. The SEC has issued 13 notifications concerning the amendments** with key points as follows: (1
Thailand re: Disclosure of Information and Other Acts of Listed Companies Concerning Acquisition or Disposal of Assets B.E. 2547 dated 29 October 2004 (Notifications on Acquisition or Disposal). Based on the
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re