guidelines issued thereunder. This allows SEC to supervise the operation of ICO portal related to IT systems more efficiently and in accordance with the oversight standards imposed on other types of
investors and prescribing fees related to listed companies at a lower rate than those imposed on listed companies on mai and SET. The trading rules for SMEs and startups are different from those for listed
: Rules on Personnel in the Capital Market Business, as amended. (Executives are subject to penalties twice as higher than those imposed on investment consultants).
to perform duties responsibly with professional due care in violation of the Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the administrative sanction whereby her
Director, Deputy Chief Executive Officer - General Administration and Company Secretary, (3) {C}, and (4) {D}. The complaint was imposed on the ground of their collaboration in committing malpractice that
. Taking into account that {A} had already been suspended by his employer for a month 7 days, however, the suspension imposed by the SEC shall remain 4 months 23 days, effective from December 11, 2014.Note
suspension imposed by the SEC is deemed to have been served. _________________ Note: Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel
his duty as the approved capital market investment consultant for 8 months. Taking into account that Atthapol had already been suspended by his employer for 15 days; the suspension imposed by the SEC
investment consultant for 6 months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014 which is less than 6 months, the suspension was then imposed
{E} for nine months. In case of {D} already been suspended by RHB OSK Securities (Thailand) Plc., for a month, the suspension imposed by the SEC shall remain eight months. For {A}, the SEC barred him