, they were posted on misconduct records and will be refused approval for capital market personnel status for 10 years in case of {A} and 5 years in case of {B}, as from June 18, 2011.
year to September 1st to the last business day of each year. This is to provide greater flexibility for business operators and capital market business personnel in applying for an approval renewal
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
prescribed additional qualifications of principle valuers for transactions in capital market. The applicant intending to seek the SEC?s approval must pass the examination of Scholastic Management Aptitude
place until further review.Mrs. Pornanong Budsaratragoon, SEC Secretary-General, said: “This approval of the SET’s amended regulations will create a mechanism to mitigate price volatility for small 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
Bangkok, December 7, 2012 ? The SEC will not accept application of Chanunkorn Satiraprapakul for approval as auditor in the capital market for one year, as from December 7, 2012. This follows the SEC
measures relating the purchase of securities through cash balance account in case of abnormality in the trading of securities to ensure that such rules or measures are appropriate for the current market
services through business operators in the host country, prohibition of giving advice to particular customers and soliciting for sales of the capital market products. Each ACMF member may issue additional
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions