Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities

major areas, namely (1) improvement of business operation in such areas as data storage system, management system, custody of clients’ assets and sale promotion advertising, (2) reporting of duty

providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness

) Contribution for public interest more than one’s own benefits and public mindedness, (5) Focus on work effectiveness, (6) Fair and impartial duty performance, and (7) Setting good examples and protecting the

intermediaries such as financial advisor, underwriter and bondholders’ representative. These intermediaries may be related to the issuer and the offeror in such a way that may have an impact on their duty

Kanjanopas) in trading shares of Karat Sanitaryware Plc. ("KARAT") through her own account by using inside information. Such information was obtained by Apichart while performing duty as a chief legal counsel

for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.

financial reporting and duty performance of market participants would benefit both fund mobilizers and investors.The proposed rules are expected to take efffect on 1 January 2018.The consultation paper is

communication, and (4) the oversight of fund products and duty performance of selling agents.  The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to

Advice dated January 18, 2012. The SEC therefore suspended {A} for one-month from her duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by