/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 2. Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 26/2551 Rules, Conditions
Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry dated September 15, 2000. In this regard, the SEC revoked
No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry dated September 15, 2010. Moreover, he was earlier warned and punished by his employer Bualuang
Characteristics of Personnel in Capital Market Industry dated September 15, 2010. The SEC therefore revoked approval for their present status as investment consultant. Information contained in this news release
today affirms integrated collaboration of the institutional investors which will bring about even more solid self and market disciplines to drive capital market industry. For retail investors, the SEC
Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry ------------------------------ By virtue of the following Sections: (1) Section 16/6 and Section
Financial Innovation Department outlined the SEC’s role in promoting fundraising for soft power industry in the capital market. This includes supporting the initial coin offering (ICO) of artists
plant infrastructure funds to use the capital market to raise funds as the industry is important to national development. The move will bring the regulations into alignment with the government’s
investor education, market disciplines and industry participations. Duty performance of company directors and executives is closely monitored to ensure compliance with corporate governance, protection of
consultant and prohibited him from re-entering the industry as capital market personnel for 10 years. In cases where any offender fails to pay the fine within deadline set by the Criminal Fining Committee