violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and
Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ โปรดรอสักครู่... เรื่อง : สัมมนาเรื่อง “การเตรียมความพร้อมกรรมการ และผู้บริหารระดับสูงในเรื่อง Personal Data Protection” (ฺBO) วันที่ : 05/03/2020
22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing representatives (Section 18
), aimed at encouraging businesses and stakeholders to support environmental protection and provide fundraising channels. Additionally, the SEC Spokesperson discussed efforts to prevent investment scams on
regulation. Key highlights included: (1) Utilizing AI to detect suspicious trading behaviors and potential misconduct, aimed at promoting transparency and strengthening investor protection, and (2) Building an