cooperation, the MOU aims to assist teachers and educational personnel in solving their debt problems in a concrete way. This includes increasing liquidity for debt payments, promoting good quality living

investment service provider. To perform their roles and responsibilities, personnel in the capital market need to acquire knowledge and understanding of the ESG principles and apply them in providing

characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her

companies directors and executives under the relevant notification, this person, therefore, cannot perform duties as a director or an executive of the company and cannot act as personnel in the capital

SEC Secretary-General Ruenvadee Suwanmongkol said: “Due to the current situation of the COVID-19 outbreak, SEC has issued this support measure to help personnel in the capital market business to

a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the

accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's

the person not the owner of such securities trading account and took trading orders via mobile phone. Receiving trading orders from a person other than the owner of securities trading account and

derivative warrant but did not inform the client of maturity date. In addition, there was no source of trading orders of her clients where {A} described that the clients submitted trading orders via mobile