offer orders* and matching bid and offer orders among themselves through the securities trading accounts of Atthavut, Sujeera and Piliaipit. Additionally, Piliaipit allowed Atthavut and Sujeera to use her
allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g., investment units of mutual funds for
, as amended. *** An investment consultant for Complex Instruments Type 2 is allowed to give advice to investors about capital market products
consultants are not allowed to make investment decisions for investors, no matter if the investors give a consent or not, and they have to perform professional duties with loyalty and integrity at all times
) issuing and selling of Libra investment token (not Libra cryptocurrency). If the token will be offered in Thailand, a permission is required. However, this possibility is very low as those who are allowed
concealing the fraud by extending the maturity terms of such B/E issues several times. The fraud was supported and assisted by (5) Thepthiwa, who knew Pattarapob and Sunchai. In so doing, Thepthiwa allowed his
/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017. ** investment consultant for complex products Type 2 is allowed to give investment advice on all types of
facilitates Thai companies? securities offering in the European Union (EU) members as Thai auditors are allowed to audit and certify their financial statements without having to register with independent audit
personnel for two years, starting from 14 September 2016. During the suspension period, {A} is not allowed to work in the managerial or advisory areas in the company, nor could he perform any other duties as
companies, investors then misled that they gain high returns at the first stage but not allowed to withdraw their profits. Later on, the companies will notify their clients to add more money due to investment