for his remaining approved status. The rest of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel. The SEC's order has been in
e-service Online Submission See canceled document Derivatives Agent >> Net Liquid Capital Rule (Section 49) Type Title Section See Document Status Notified Date Effective Date 1. Circular SEC
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
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e-service Online Submission See canceled document Investment Advisory >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Derivatives Advisors >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Derivatives Advisors >> Approval & Qualifications Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital
e-service Online Submission See canceled document Limited BDU >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market