; (3) An issuance and offering of high-risk debt securities must clearly include the term, "High-Risk Bond" in the name of the securities. Additionally, a warning statement must be provided to investors
information necessary for decision making.?The key points of change include the requirement for the fund title and the advertisement warning to clearly state that returns are not guaranteed and pre-maturity
warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
; (6) Being an incompetent or quasi-incompetent person; (7) Being a person whose name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive
name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive under the regulations of the Stock Exchange of Thailand; (8) Being accused or
Business; (2) financial institutions established under a specific law to be financial institutions in accordance with the Law on Loan Interest of Financial Institutions. "Exchange" means the Stock Exchange
water shortage warning level. Water supply in the main reservoirs was lower than the 10-year average due to impact of the 2019-2020 drought. Nevertheless, the Meteorology Department climate forecast
Chonburi and Rayong were in water shortage warning level. Water supply in the reservoirs was approximately lower than the average water quantity of the past 10 years as the drought impact during 2019-2020
date of the application: (a) having a record of being ordered to rectify financial statements by the SEC Office; (b) causing the SEC Office or the Stock Exchange to issue a warning to the investors or