/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3

responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board

deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and

had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in

investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has

Thailand to have become an official TCFD supporter* since 30 December 2020, which marks another important step to address the global trend of climate change management in the Thai capital market. Starting

continual basis from 2015 to 2017;             (2)  managing private funds without taking the clients’ best interest into consideration. In so doing, he arranged for the clients to invest in a foreign fund

OECD Principles of Corporate Governance as well as the OECD Guidelines on Corporate Govern- ance of State-Owned Enterprises. In addition to being a valuable venue for networking and knowledge-sharing

years, Chiang Mai has had 2 approved companies proving the sale of their stock to the public: Initial Public Offering (IPO), with a total of fund-raising value for over 900 million Thai baht. This

The current criteria require investment analysts (IA) seeking renewal of their approval to undergo a knowledge refresher by completing training or participating in eligible activities for no less