securities trading decisions on behalf of client was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Atthapol from
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
workforce through a blend of skills and experience. In addition, staff development program will also be addressed to develop employees’ skills and capabilities. Third R – Renovate: Investment of over Baht
. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the
to assist investors through the support of the Thaipat Institute by launching indicators to monitor listed companies in the areas of corporate social responsibility (CSR Progress Indicator) and efforts
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
. 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
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
quality in these areas. The root cause analysis on some audit firms’ continual lack of the ability to fully remediate their deficiencies revealed a scarcity of experienced and competent staff to assume