responsible and careful duty performance. He consequently possessed prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor Lor
capital market personnel for a period of three months and 22 days. In this regard, Asia Wealth has already suspended her from work for six months. As a result, the SEC's suspension is deemed to have been
. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31
characteristics of capital market business personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 87/2557 Re: Rules on Personnel in the Capital Market Business
market business personnel for 10 years, starting from 10 February 2018. ___________________ *Violation of Clause 23(1) and possessing the prohibited characteristics of capital market business personnel
SEC Secretary-General Ruenvadee Suwanmongkol said: "As capital market personnel, investment consultants, investment planners and investment analysts all have important roles to play. Therefore, the
from being capital market personnel and considered lacking trustworthy characteristics of directors and executives of issuing companies. Thus, the SEC revoked the approval as securities investment
attentiveness and accumulate knowledge of market personnel regarding developments in international capital markets, promote academic opportunities and expand perspectives of such personnel through global
Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The
) Intermediaries: Surveillance, monitoring, inspection and investigation of business operators and related capital market personnel;(5) Enforcement: Legal actions against the violators;(6) Toward international