requirements applicable to them. Under the proposed revision, for example, the operators will have to provide unprejudiced advice, supervise the approved contact person giving advice through any media or

Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC, therefore, suspended {A} from his duty as the approved capital market

Supervisory Board approved the revision of regulations on business operators to require a report of change in operating system if the change significantly impacts the business undertaking. This is to enhance

SEC therefore suspended {A} from duty as approved capital market investment consultants for one month.

Assistant Secretary-General in 2011.Meanwhile, the SEC Board approved changes in the line of command, effective from October 1, 2014. (see the organization chart: http://www.sec.or.th/EN/AboutUs/Pages

management, conducted by an SEC-approved auditor working for one of the big four audit firms. The suspicious grounds for such audit are: (1) the placement of THL assets as collateral for stay of legal

SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with

Analyzing Investment and Giving Investment Advice dated January 18, 2012. Consequently, the SEC suspended {A} as an approved securities investment consultant for one month.

an SECC Holding’s director and executive with responsibility and due care by attending the Board of Directors’ meeting in which the fictitious loans worth Baht 245 million agenda was approved and

Mr. Chalaem Semsarid Mr. Chalaem Semsarid, then marketing director of Country Group Securities Public Company Limited and approved securities investment consultant, agreed or conspired with twelve