an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client?s complaint and inspection report of Globlex Securities Company Limited, the SEC further probed

of client without order, and using the client's account for his own benefits. He was an employee of Maybank Kim Eng Securities (Thailand) Plc, while the misconduct occurred. Following the client's

” means the Thai Bond Market Association which has been licensed by and registered with the SEC Office. The terms "credit ratings", "registration statement", "listed companies", "high net worth

, investors or capital market, the SEC Office may determine to submit thereof within the business day when such matter has been occurred; (b) in case of matters other than sub clause (a), the SEC Office shall

rate of 2.33% and 5.69% for the hospital operation and 34.90% and 17.80% for the service sector respectively which have been in lines with the revenue growth but still been impacted somehow by the COVID

occurred or is in existence and that there is no concealment of any fact that should be disclosed; (2) have the translator certify that the substance of the translation is accurate and consistent with the

) 2676 4031-6, (66) 2676 3836-9 Fax : (66) 2676 4038-9 http ://www.jck.international ทะเบียนเลขที่ 0107537000475 (เดิมเลขที่ บมจ.294) 2 The accumulated size of this transaction, which have been calculated

under Clause 2 such as date of occurrence and cause of such circumstance; (3) measure for solving possible effect on REIT in case of the circumstance occurred under Clause 2(1); (4) any other information

misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He

all but two states from SEC to state jurisdiction • Key contribution: The extant literature documents dynamics of bad behavior, but there has been no focus on external governance. • Regulatory