Plengkham, Director of the Inspection and Supervision Department, the Office of the Personal Data Protection Commission (PDPC)Mr. Kittinan Srimongkol, Director of the Personal Data Protection Supervision

, with the requirement that during the first two years, the records must be stored in a format that is readily accessible for the SEC’s review or inspection. The Notification concerning the amendments has

According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order

Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment

supporting documents within 90 days from the date of filing the application with SEC, and (2) inspection of the actual work systems before granting permission to commence business operation whereby the

According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium

’ equity falls below zero. In case of any irregular trading activity, SET is the frontline inspector and, if it is considered a liable offense, will gather information for SEC to conduct in-depth inspection

Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and

working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that

securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared