Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft capital market personnel rules aiming at compiling and standardizing the rules and guidelines concerning all types of capital

Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last

Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator

investment service provider. To perform their roles and responsibilities, personnel in the capital market need to acquire knowledge and understanding of the ESG principles and apply them in providing

Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management

Bangkok, April 16, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved to revise rules governing capital market personnel to standardize the

2566-2#2I-!9%*44 (website) Dec 66.xlsx Statistics of Administrative Sanction (As of 31 December 2023 Public Reprimand Suspension Revocation Public Reprimand Suspension Revocation Business Operator

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Suwanmongkol said: “Personnel in capital market business play a very important role in raising both institutional and retail investors’ awareness and knowledgeability on ESG-focused business practice and

trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to