former employees with the highest priority on the organizational interest. The code also specifies appropriate conducts in protection of the SEC reputations, divided into two areas as follows: Staff C
Awards,” to honor listed companies’ outstanding performance in all areas of Sustainability Development and encourage executives and employees to be a good example of committed drivers of sustainable
authorities of each level of employees related to the register of securities; (b) management and storage of the register of securities and related securities certificates; (c) examination of the internal system
{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
for intermediaries or their employees to use advance information on clients? trading orders of securities or derivatives to execute their own orders before clients? (front running), or disclose such
, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and
. Other employees involved in this incident were also disciplined by TMB for failing to comply with bank’s operating procedures. In considering the appropriate administrative sanction, SEC takes into
expenses amounted of Baht 686.4 million, increased by 2.0% when compared to the first quarter of 2017, almost of the increase of employees’ expenses that provide for business expansion. The ratio of