trading orders were submitted via LINE.Failure to keep complete record of the securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of

than 3 consecutive years; and SEC allows the auditors in a small audit firm to perform duties for more than 7 cumulative years but no more than 9 cumulative years. As the grace period is applicable to

a general approval for individuals who have been ready to perform the duties of PF/DF marketing agents, (2) the relaxation of work system requirements to focus only on those essential for duty

break the rules or fail to perform such duty, they will be held legally liable.Moreover, information concerning unitholding or change of unitholding by directors and executives of trust managers and

Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Accordingly, the SEC

Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment

code of ethics for SEC workforce in line with the intention of the Ethical Standards Act. The drafted code of ethics contains regulations which require the workforce to perform work and uphold ethics

perform their duties professionally that is strongly supportive to building confidence in the capital market.  

(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment

to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for three months from her duty as an approved capital market investment