on Investment Analysis on Technical Factors (5) Knowledge on Ethics of Investment Analyst 1 Obtained a bachelor’s degree. Local or foreign organization for a total period of at least 1 year during the
Picnic Corporation Public Company Limited Picnic Corporation Public Company Limited (PICNI), a securities issuer which is proceeding the rehabilitation procedure under the Bankruptcy Law and is
Customer Due Diligence : KYC/CDD procedure. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
procedure provided in the Office’s electronic work system along with either of the following evidence or reference showing that within the period of two [2] years prior to the date of submission of renewal
prior to the expiry date of the approval in the form and procedure provided in the Office’s electronic work system along with either of the following evidence or reference showing that within the period
prior to the expiry date of the approval in the form and procedure provided in the Office’s electronic work system along with either of the following evidence or reference showing that within the period