. ---------------------------------------- Note: * Clause 23(2), which specifies a prohibited characteristic of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re

securities issuing company or listed company under the SEA.In addition, the SEC is examining other issues of public and stakeholders? complaints regarding whether the duty performance of current and former

.  ________________ *Violation of Clause 23(1) under the Notification of the Capital Market Supervisory Board No. Tor Lor Thor 8/2557 Re: Rules on Capital Market Business Personnel dated 3 June 2014, which is deemed a

involving with complicated transactions, audit works need competent audit teams under quality assurance system. To lift up confidence in the Thai capital market, audit firms should place priorities on

under the specified scenarios. The regulations are expected to become effective early this year. ?The commercial banks? nationwide branches and the bank-client familiarity contribute to their crucial

revised the ordering method and revealed only names of companies with the score of 80 or above, comparing with disclosure of all companies? names under every interval score.? Meanwhile, the assessment

cases, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the

potential change in the securities price is deemed to be taking an unfair advantage of other people. Such action is in violation of Section 241 and liable to the penalties under Section 296 of the Securities

(www.sec.or.th). ---------Notes:1. The ASEAN Capital Markets Forum (ACMF) was established under the auspices of the ASEAN Finance Ministers in 2004 to serve as a forum for the heads of securities regulators in

accounts were for the benefit of Shine.  Nonetheless, there was no record of Shine?s report on his acquisition or disposal of such shares required to be filed with the SEC under the relevant rules which