already categorized type of the client, the intermediary shall notify the client to acknowledge the result of the client’s categorization, rights, restrictions and risk level, including right to request for

categorized as securities brokerage, securities dealing, securities underwriting and mutual fund management, and allow such businesses to participate in the regulatory sandbox program, which has already

, for their own or other persons? interest.   In committing such acts, (1) Pattarapob, then acting managing director and executive director, and (2) Sunchai, then deputy managing director and executive

draft guidelines of the Association that has been approved by SEC*. The guidelines contains details on :1) preparation of the service model responsible by a high-ranking executive officer; 2

complaint previously filed with DSI on April 23, 2012 against Amnat Tangurimarn, GEN?s Chairman of Executive Board and Director, Shine Bunnag, and former GEN employee Kittichai Khiewkham on account of

management companies on practicing front running scheme, the SEC probed into the case and found that Sopana, who was K-Asset Vice President from November 2009 to November 2010 and SCBAM Senior Executive Vice

market personnel and lack qualifications for the director and executive positions of issuing firms throughout the complaint period. Arada?s investor contact approval is also revoked,? said SEC Deputy

หนังสือแต่งตั้งเจ้าหน้าที่ปฏิบัติการ (operating officer) ในการส่งข้อมูลเกี่ยวกับการเสนอขายหลักทรัพย์ผ่านระบบคราวด์ฟันดิง

ศักดิ์ ปลอดมีชัย ประธานเจ้าหน้าท่ีบริหาร 2. นางนันท์มนัส เปี่ยมทิพย์มนัส Chief Investment Officer 3. นายอาชวิณ อัศวโภคิน Chief Marketing Officer 4. นางปิ่นสุดา ภู่วิภาดาวรรธน์ Chief Operations Officer 5

Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of