, cover the following issues: 8.2.1 Procedures for communicating with relevant persons, correctness and modern of name list and contact data. 8.2.2 Procedures for evacuating employees or moving personnel to
continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are able to work
. Other employees involved in this incident were also disciplined by TMB for failing to comply with bank’s operating procedures. In considering the appropriate administrative sanction, SEC takes into
communicated to related staff members. Revised Trade Competition Supervisory Measures On July 7, 2017, the Trade Competition Act, B.E. 2560 (2017) was promulgated in the Government Gazette, repealing the Trade
enhanced business effectiveness and efficiency, as well as products that meet their needs and market circumstances. Focus was on personnel development to ensure that our employees have gained knowledge and
Meeting of Shareholders No. 1/2018 3. Approved the issuance of the Warrant to purchase ordinary share for Employees Stock Option Plan (CCET-WC), distributed to directors and/or employees of the Company and
behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved
behalf of client and seeking benefits from the client during the performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Acting Subbieutant Saroj from his duty as the