deemed that an intermediary has already complied with this Notification. 4 Chapter 1 Rules on Establishing Domestic or Oversea Branch Office ____________________ Division 1 An approval ________ Clause 7 An
securities investment consultants, had committed wrongful acts against clients at various branch offices as follows: (1) In the case of Miss Surasa Mungthaworn, it was found that she had
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned