performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
ultimate responsibility over the system of quality management (SOQM) functions within the firm? B3 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how
English translation is strictly for reference. Please also note that the translation has not been subjected to an official review by the SEC Office and the SEC Office cannot undertake any responsibility for
English translation is strictly for reference. Please also note that the translation has not been subjected to an official review by the SEC Office and the SEC Office cannot undertake any responsibility for
SEC will continue to develop the capital market by exercising our core value of openness, insightfulness, collaboration and integrity. Market participants and stakeholders can rest assured that the SEC
Channels 23 Yuthana Sethapramote, Ph.D., Graduate School of Development Economics, NIDA 1. the degree of openness • 𝑂𝑂𝑂𝑂𝑖,𝑡 = (𝐸𝐸𝑂𝐸𝐸𝐸𝑖,𝑡 + 𝐼𝐼𝑂𝐸𝐸𝐸𝑖,𝑡 )/𝐺𝐷𝐺𝑖,𝑡 2.the trade share in
of responsibility or deliberation, [iii] exploitation of investors or lack loyalty or practice on code of conduct as a professional specified by the SEC Office, associations, or agencies related to
. Neither the Office of the Securities and Exchange Commission nor Linklaters (Thailand) Ltd undertakes any responsibility for the accuracy of the English Translation, nor will either of them be held liable
. NEITHER THE OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION NOR LINKLATERS (THAILAND) LTD UNDERTAKES ANY RESPONSIBILITY FOR THE ACCURACY OF THE ENGLISH TRANSLATION, NOR WILL EITHER OF THEM BE HELD LIABLE
the SEC views that the appointed directors have infamous conducts, or there is a cause to reasonably suspect of their being threats to the economy and stability of the country or to the public order or