} for one month from their duties as approved capital market investment consultants effective from March 27, 2014. For {B} who had already been suspended by his employer for fifteen days, however, the
his approved investment consultant status had expired earlier, the SEC will not consider an application for approval as capital market personnel for two years. Taking into account of a 16 day suspension
advance notice, if the outsourcees are: financial institutions, subsidiaries of the business operator, audit firms where the SEC-approved auditors work, the Stock Exchange of Thailand or its subsidiaries
due diligence checklist before investing in complex financial products to promote business standard and competitiveness. SEC Secretary-General Vorapol Socatiyanurak said that the SEC approved the AIMC?s
and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} from her duty as an approved derivatives investment consultant for a period of one month. Taking into account that
capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved
placement, the Capital Market Supervisory Board approved the revision of private placement rules to require the listed companies? board of directors be responsible for consideration on reasonableness of
securities firms? accounts were used with intent to build up trustworthiness. The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed
Bangkok, May 12, 2015 ? The SEC published 2014 Independent Audit Inspection Activities Report covering inspection of 12 audit firms and working papers of 46 approved capital market auditors. The