In December 2021, the SEC conducted an earlier public hearing on the proposed amendments to the aforesaid Rules, the objective of which is to accommodate the use of technology to operate business in
companies of relevant guidelines to be implemented in the same direction. For example, guidelines for mitigating the risks of COVID-19 spread when AGM is held and guidelines for supporting proxy voting. In
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the
benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a
performing duties related to provision of services for sales of securities products from 17 January 2020 to 16 April 2020, which exceeded the sanction period imposed by SEC. Therefore, it is deemed that Prapai
addition, due to the fact that Amorn, Pipat and Nasika held the position of director and/or executive of AJD at the time of committing offenses and were imposed with a civil penalty by the Civil
market which is envisioned to become: Strategic Direction 1 Capital market for competitiveness (Competitiveness), in which potentiality and competitiveness of all sectors in the capital market and economic
specified in the SEC Office Notification No. Sor Shor. 39/2553 to be in line with the current situation. The amendments aim to facilitate high potential auditors’ entry into the capital market to
operations, with a view to grouping the relevant regulations of the operation system and the provision of services to facilitate business operators.The public hearing is intended to propose the draft
performance of persons involved in the operations of listed companies, and to promote the awareness of the importance of sustainable development among listed companies.” “I would like to thank all members