past conduct; the cooperation or obstruction with SEC’s investigation; and any previous record or past behavior which indicating that the subject person is not fit and proper to work in capital market

person under consideration; the penalty he/she has already served; the impacts, loss or benefit incurred; any steps taken to rectify past conduct; the cooperation or obstruction with SEC’s investigation

orders in large volumes. The practice may aim to mislead other investors by creating a false impression of escalating bid or offer demands at a given time, or it may be an obstruction to the buying or

or offer demands at a given time, or it may be an obstruction to the buying or selling activities of other investors, consequently compelling them to send trading orders at prices higher or lower than

, remedy or prevent the recurrence of similar facts or behaviors; (5) level of cooperation of the auditor with the SEC Office or any obstruction for justice such as providing relevant facts or evidence

aerospace training center 2) The construction of high-speed train and Double-track railway between Bangkok - Rayong to link the 3 airports altogether, U-Tapao - Suvarnabhumi – Donmuang with no obstruction

in refusing to accept assets or other kinds of benefits from any persons involved in the operation of the SEC to prevent obstruction of duty performance. The violation of such rule is not only deemed

obstruction for justice such as providing relevant facts or evidence, concealing or destroying relevant evidence, or giving false information; (6) complexity of actions or means such as using the names of other

burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for

· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the