appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.

Securities Public Company Limited (?AEC?) (Changed the name to Beyond Securities Public Company Limited) failed to perform her duty resulting in AEC?s violation of section 97 SEC Act S.283 Settlement

perform work related to business operations in the year 2022 within the period specified in the notification of the SEC, that is December 31, 2022. DAB Act S.30 Settlement Committee Meeting No. 4/2023

for assigning other persons to perform the work related to business operations. Accordingly, the act of Zipmex was not in accordance with the notification of the SEC. DAB Act S.30 Settlement

Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted

the Notification of the SEC Office regarding Approval of Auditors; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I

of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand

client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s

perform her duty resulting in AEC?s violation of section 109 SEC Act S.283 Settlement Committee Meeting No. 4/2021 Settlement Committee Order No. 33/2021 Dated 18/08/2021

client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint