reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________
___________________________________ By virtue of Clause 3(4) of the Notification of the Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for Obtaining an Approval and Granting to Perform Trust Business
has considered that Nattapong failed to perform duties with loyalty* by committing wrongful acts against the investors’ assets, which was an offense liable to revocation of approval as securities
an offense liable to revocation of approval as securities investment consultant. However, the approval as securities investment consultant for {A} has already expired since 31 December 2019. SEC has
the manager.The misconduct of the three persons above was a failure to perform duties with responsibility and professional due care for the best interest of investors pursuant to the Notification of the
ที่ BCH No.BCH.019/2018 26 February 2018 Subject : Approval of transaction with connected person Attention : The President The Stock Exchange of Thailand The Board of Directors’ Meeting of Bangkok
ที่ BCH No.BCH.019/2018 26 February 2018 Subject : Approval of transaction with connected person (Additional) Attention : The President The Stock Exchange of Thailand The Board of Directors’ Meeting
accurate and complete; 2. I fully understand the provisions in the Notification of the Office of the Securities and Exchange Commission concerning Approval of Auditors in the Capital Market and am prepared
provision.To improve the service provision standards, the Association of Securities Companies has drawn up the draft operating guidelines to be observed by its members. Upon the approval of SEC, securities