there is a breach of the guideline. The course of action should be appropriate taking into account the seriousness of the breach. Chapter 2 Availability of competent personnel Objective The management
under Paragraph 1, the SEC Office shall take the following factors into its consideration: (1) the seriousness of the facts or circumstances that have changed; and (2) the effect upon the investors who
Capital Market Supervisory Board. In making consideration, the SEC Office shall take into account the degree of seriousness of such prohibited characteristics; (4) being a government official or an official
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...