20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...

Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557, the SEC notified the bank to prohibit the person in (2) from performing duties as branch manager responsible for capital market

or prohibit establishment of additional branch offices. Clause 9. Where any management company has been provided services in the form of a service office permitted by the Office pursuant to the

office to close temporarily or permanently or prohibit establishment of additional branch offices. Clause 9. Where any management company has been provided services in the form of a service office

under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently or prohibit establishment of additional branch offices. Clause 9. Where any management

construction projects that are being completed. In some projects, the owners have delayed in the work area handover which prohibit the work. The construction area handover is expected to commence and the work

, (2) prohibit the offenders from trading securities on the SET or entering into derivatives contracts on the Derivatives Exchange, (3) ban the holding of director or executive position at any issuing

open to receiving feedback from relevant stakeholders to determine the appropriate regulations to prohibit digital asset business operators from providing services related to using digital assets as a

should prohibit retaliation by the CRA or an employee against any employees who, in good faith, make such reports. 2. CRA INDEPENDENCE AND AVOIDANCE OF CONFLICTS OF INTEREST A. General 2.1 A CRA should not

SEC Office, the SEC Office may not use such prohibited characteristic to decline to grant an approval, suspend or revoke an approval or prohibit from performing duties. In this case, the SEC Office may