of the National Legislative Assembly functioning as... https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-secact.doc

to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it https://www.sec.or.th/TH/Documents

functioning as a capital market investment consultant ends on 31 December 2017, the suspension period shall end simultaneously. In addition, the SEC shall not accept his new application for approval as capital

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. SEC Act (before the fifth amendment) Section 241 and 241 Civil Action Dated 16/06/2017

additional investment to upgrade office building’s facilities. - Administration expenses increased due to additional headcount required for the succession plan. Extraordinary items included 15.2 million baht

corruption risk assessment systems and has conducted a qualitative assessment of the CRMS for the year 2023. The assessment results are divided into four levels, i.e., Upgrade, Pass, Good and Excellent.

In recent times, crimes regarding the capital market have become significantly more intricate, which is why SEC firmly believes that there must be an upgrade in the cooperation between related

at the SEC Building.The cyber drill was part of the joint action plan since the establishment of the Thai Capital Market CERT or TCM-CERT, which aims to upgrade the Thai capital market's capacity in

analysis on industry outlook to serve as information for making investment decision.As for the personnel, TIA was encouraged to upgrade right protection volunteers in the areas of analyzing financial