for normal situations, business operators must receive the SEC’s prior approval. Hence, business operators requested more clarity as to which operational systems are required and a streamlined process

benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a

Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval

market*, the SEC therefore set the period for acceptance of his re-application for approval as capital market personnel for 15 days. Having considered that {A} had already been suspended by his employer

e-service Online Submission See canceled document IP/FG >> Appoint/Approval/Code of conducts and Standard Practices   Type Title Section See Document Status Notified Date Effective Date 1. Act

period was instead set as the period for acceptance of his re-application for approval as capital market personnel, effective as from October 9, 2014.  

of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel, effective as from October 27, 2014. For {B}'s case, the SEC suspended

countersigning of the Provisional Acceptance Certificate for the CFP; • The Company or Subsidiary shall be entitled to terminate the agreement if the Company or Subsidiary did not consent to any material event

concerning Rules on Application for Approval and Granting the Establishment of Branch Offices of Intermediaries . Clause 39 In providing services for acceptance of trading orders of capital market products

) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association1, with an approval of the SEC Office, except