suspension imposed by the SEC shall remain one month, effective from January 8, 2015. Besides, {A} has been approved as an investment planner and held a position equivalent to a department director while the
Under the existing regulations on the eligibility of issuers and the use of proceeds in accordance with the disclosed purposes, certain aspects remain unclear and subject to limitations in
Guillotine is the regulatory review of the existing laws and regulations. The reviewed laws and regulations that are unnecessary or do not keep pace with situations or remain obstacles to livelihoods or
he has already been suspended by the employer for one year, the suspension imposed by the SEC shall remain for one additional year;(2) suspended {B} for one year and six months. As he has already been
) principles for contacting and providing services to clients, intermediaries remain obliged to continue following such principles, as prescribed in Clause 30(1) of the Notification of the Capital Market
Criminal Code, which carry penalties under Section 296 of the SEA. Currently, the SEA (No. 5) B.E. 2559 (2016) prescribes that such actions remain offenses under Section 244/3 in conjunction with Section 244
regulations. The reviewed laws and regulations that are not necessary or do not keep pace with situations or remain obstacles to livelihoods or engagement in occupations will be abolished or revised to lessen
should remain focused on cyber risk prevention when using personal devices to make transactions, including keeping one’s digital assets in a private wallet. The SEC recommends that service users allow