intermediaries such as financial advisor, underwriter and bondholders’ representative. These intermediaries may be related to the issuer and the offeror in such a way that may have an impact on their duty

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

companies, whereby the reporting duty would begin only after the issuer?s securities have been listed on the Stock Exchange of Thailand.The consultation paper is available at www.sec.or.th. Stakeholders and

issuing Thai companies, whereby the reporting duty would begin only after the issuer?s securities have been listed on the Stock Exchange of Thailand.  The consultation paper is available at www.sec.or.th

Securities Public Company Limited ("KTBST") failed to order or act duty resulting in KTBST engaged in act which may cause damage or constitute an unfair advantage to its customers or other interested

major areas, namely (1) improvement of business operation in such areas as data storage system, management system, custody of clients’ assets and sale promotion advertising, (2) reporting of duty

suspended {A} from her duty as the approved securities investment consultant for one month, effective from June 27, 2014.

Advice dated January 18, 2012. The SEC therefore suspended {A} from his duty as an approved securities investment consultant for three months, effective from June 27, 2014.

) Contribution for public interest more than one’s own benefits and public mindedness, (5) Focus on work effectiveness, (6) Fair and impartial duty performance, and (7) Setting good examples and protecting the

Advice dated January 18, 2012. The SEC therefore suspended {A} for one-month from her duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by