Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and information technology to support the work-from-home routine. In the past, the rules allowed employees of business operators to perform duties from home only during emergency situations (under BCP plan), but for normal situations, business operators must receive the SEC’s prior approval. Hence, business...
will not accept her future application for approval as personnel in the capital market for the remaining period from 31 December 2020 until the 15-month suspension ends. {A} resigned from Finansia on
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
to the timeframe when the SEC considers the inquired matters. Therefore, the SEC requests that the general public acknowledge this matter and beware of the limitations of such response letters. For
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re
2019 Chairmanship, “Advancing Partnership for Sustainability”. The ACMF Deputies’ Meeting also discussed on the possibility to accept the Philippines as a new member of the ASEAN CIS to further promote
suspended the approval for Patamavan as capital market auditor. However, she has resigned from the position since 22 March 2019. The SEC therefore will not accept her future application for approval as a
information on the ultimate tender offeror as such information is material to the DSGT shareholders? decision making whether to accept or decline the tender offer.The deadline for the additional disclosure is
return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has