executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
SEC has suspended approval of two AEC executives, namely Thada Chanprasit and Pisit Patumban, as capital market personnel for six months each starting from 29 December 2015 on the ground of being
company's management and monitoring on personnel systems did not comply with professional standards. In this regard, the SEC warned KPMG Phoomchai Business Advisory Ltd. to emphasize on compliance with
. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31
. -------------------------------- Note: * {A} violated Clause 23(2), and {B} Clause 23(1), both being the prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory
the cooperation to disseminate knowledge on finance, investment and savings and to train personnel to ensure they have financial knowledge and understanding so that they can transfer it to students
that those personnel must be equipped with knowledge, capability and approved by the SEC. The business operators must apply necessary assessment procedures to ensure that their investment consultants
23(2) and (3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 dated June 3, 2014 (Notification No. TorLorThor. 8/2557) which was prohibited characteristics of personnel
Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and
personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature