revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved capital market investment consultant for six months. Taking into account that he had
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
Board of Directors, management, employees, customers and suppliers, through dissemination of knowledge in various media such as cyber awareness campaign for customers, e-Learning, security newsletter
SEC Secretary-General Ruenvadee Suwanmongkol said: "As capital market personnel, investment consultants, investment planners and investment analysts all have important roles to play. Therefore, the
allocated human and information resources, as well as collaborated with other organizations to mitigate the impacts on the business sector and personnel in the capital market. In addition, all mechanisms in
capabilities to ensure adequate audit personnel for the amount of current and future audit works because the quality of assurance services truly depends on the capabilities of audit staff, obtained through
the company’s related employees for effective and complete preparedness to ensure that KLeasing will be able to conduct business in strict compliance with laws. 5 Market Conduct The Bank of Thailand
translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business