personnel with knowledge, expertise and credibility among general investors, their misconduct in this case is a serious offense, affecting the reliability of the capital market in a significant manner
of the Penal Code. In addition, as Sippakorn and Jantharapa are also capital market personnel, their involvements with the aforesaid share manipulation are subject to SEC?s consideration. (2) SAMART
pleased to support this Project to promote financial literacy and saving discipline among working-age population and will put our efforts to improve quality of personnel and capital market services to
individuals are banned from engaging in or associating with any securities or derivatives business firm and their registrations with the SEC as securities business personnel have been revoked. The findings in
million and operating expenses rose by Baht 530 million or 4.1 percent from higher other expenses and personnel expenses. In the first half of 2018, net profit attributable to owners of the Bank amounted to
function, internal audit, or risk management, in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business ; “ client ” means user
function, internal audit, or risk management, in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business; “client” means user of
in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect
intermidiary’s personnel who perform such functions and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary