must be reported and the procedures for obtaining facts relating to such circumstances shall be in accordance with the Notification of the Capital Market Supervisory Board
amount of damage to several clients.Pisist's misconduct above is deemed a failure to perform duties honestly in accordance with the Notification of the Capital Market Supervisory Board*. The SEC has
take comments from all parties into consideration and revise the regulations more properly.” SEC will present the public hearing’s results to the Capital Market Supervisory
investors in accordance with the Notification of the Capital Market Supervisory Board regarding Application for and Approval of Public Offering of Newly Issued Debt Securities and the Notification of the
and deliberation as a professional, and {B}'s was a failure to perform duties or provide services honestly. Both cases were in contravention of the Notification of the Capital Market Supervisory Board
trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
private sector to help enhance the public sector operation along the line with international standard. SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board
23(2) and (3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 dated June 3, 2014 (Notification No. TorLorThor. 8/2557) which was prohibited characteristics of personnel
reference. PAGE 4 Notification of the Capital Market Supervisory Board No. Tor Nor. 89/2558 Re: Rules for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional