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
committing undue acts toward his clients? assets and using a client's trading account to trade securities for his own interest and was deemed offenses under the Notification of the Capital Market Supervisory
and innovations to facilitate fast and convenient market access, more efficient cost management of existing and new intermediaries in fulfilling investors? demands, enhancing market supervisory
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
to seek benefits for themselves, which was deemed failure to perform duties or provide services with loyalty pursuant to the Notification of the Capital Market Supervisory Board.*The SEC has revoked
Clause 20(5) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Intermediaries to Perform Duties of Analyzing Investment and Giving
Capital Market Supervisory Board’s regulations.* Therefore, the SEC has revoked Sareerat’s approval as Investment Consultant for Complex Products Type 2** for 10 years. However, since her approval has
Notification of the Capital Market Supervisory Board*. Accordingly, the SEC has revoked his approval as an investment consultant for Complex Products Type 2** and has imposed a ban on accepting any future
Notification of the Capital Market Supervisory Board No. TorThor. 7/2557 Re: Rules, Conditions and Procedures for Selling, Repurchasing and Redeeming Units of Foreign Collective Investment Scheme