objectives. Furthermore, our AIMC members join the group efforts to monitor and inspect listed companies that may fail to comply with the ESG criteria, guided by the AIMC ESG Policy and Collective Action
มีระดับ โทษเริ่มต้นตั้งแต่ พัก 1 ปี – เพิกถอน 2 ปี 3) ไม่ปฏิบัติหน้าที่เย่ียงผู้ประกอบวิชาชีพ มีระดับโทษเริ่มต้นตั้งแต่ พัก 3 เดือน หรือ 1 ปี – เพิกถอน 2 ปี 4) ละเลยการตรวจสอบดูแลตามสมควร* (fail to
investment from the SEC Office fail to be listed on the Stock Exchange of Thailand within a period of two months as from the date when the allotment is announced by the SEC Office, such allotment shall be
company fail to effect such amendment within the specified time, the Office may order dissolution of such mutual fund. Clause 22. In the event that the management company has been granted approval for
shall be completed within one year from the effective date of this Notification. Should the management company fail to effect such amendment within the specified time, the Office may order dissolution of
) receiving and managing complaints appropriately; (e) taking action against members who violate or fail to comply with standards and ethics regarding appraisal profession; 9 (f) organizing training courses
) specifying the activities of the intermediary which shall be approved by the SEC Office before doing thereof in order to prevent the breach or fail to comply with requirements of this Notification; (5
Office, no later than 31 December 2019. In the case where any personnel in the capital market business under Paragraph 1 fail to attend such training course within the specified period, the intermediary
recognized by the SEC Office, no later than 31 December 2019. 9 In the case where any personnel in the capital market business under Paragraph 1 fail to attend such training course within the specified period