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investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
Capital Market Supervisory Board.* SEC has therefore revoked the approval and will not accept her future application for approval as personnel in the capital market business for a period of 10 years
March 2020. ______________________Notes: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for
failure to perform duties or give services with loyalty, responsibility and deliberation as a professional in contravention to the Notification of the Capital Market Supervisory Board.* SEC has therefore
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