be or perform duty as its executive or advisor upon being granted approval from the Office on condition that the securities company is able to demonstrate establishment of the organizational structure

perform duty, manager of securities company shall perform duty as the person responsible for the operation of such branch office. Securities company shall maintain evidence documents relating to operation

cases: (1) appointment of infrastructure fund’s personnel as follows: (a) infrastructure fund manager who perform duty of making investment decision or divesting of infrastructure asset of infrastructure

, therefore, bars {D} from re-entry capital market business for two years and eight months, starting from 18 December 2020. During this period, {D} will not be able to perform duties as a branch manager or

sued by the creditor.These issues arose from the fact that (1) IFEC was void of chairman to perform the duty of calling a Board of Directors meeting legally, and (2) the legitimacy of the majority of the

DSI for its consideration to take further legal action. The allegation shows that the accused are considered to be untrustworthy to perform duties as directors and executives of a securities issuing

Bangkok, 3 August 2023 –  SEC has ordered a revocation of an investment consultant approval on Mr. Teerasak Tipboonsri for 10 years for failure to perform duties with loyalty, misappropriating

, that audit quality will not be compromised as the SEC will require both groups of auditors to work for audit firms that perform and equip with quality assurance system in compliance with professional

Clause 20(1) and (2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving

Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.**Clause 6(1) of the Notification of Capital Market Supervisory