executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems

negligent with regard to supervision of the company?s core work systems.   Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s

Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives

Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as

with a custodian services to protect investors’ asset  and stringent supervision on asset separation to keep private... https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8625 SEC allows asset

guidelines for integrating corporate governance practices and ESG (environment, social, and governance) conceptinto listed companies? business operations. The SEC is communicating the benefits of CG/ESG

an alternative financing channel for business of all types and sizes will be carried on along with the development of financial literacy for people from all walks of life. In 2015, the SEC will launch

procurement of benefit 3. Market overview of the business of procuring benefits from REIT’s assets 4. Risk factors 5. Legal disputes 6. Other relevant information Part 3: REIT Supervision and Management 7

by the SEC Office to have important rules related to supervision of investment management equivalent to the rules governing securities companies licensed to undertake securities business in the

the SEC Office to have important rules related to supervision of investment management equivalent to the rules governing securities companies licensed to undertake securities business in the category of