money to the company as originally intended by the client. Instead, he used the money for his own benefit. As a result, the client’s life insurance policy became ineffective and the client suffered
TMB Bank Public Company Limited (TMB). According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa
insurance company in charge. SEC has considered that Sarunya, whose license as life insurance broker and agent had been revoked by OIC for performing duties dishonestly, was deemed to have a prohibited
AIRA Securities Public Company Limited's report and the SEC's further investigation, he was found to have given investment advice on specific securities at a seminar and via Line application based on his
Characteristics of Directors and Executives of Securities Company dated 3 August 2010 or the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 87/2552 Re: Qualifications and Other
. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market
Company. 3.2 Size of Transaction According to Notification of the Capital Market Supervisory Board No. TorChor. 20/2008 re: Rules on entering into Material Transactions Deemed as Acquisition or Disposal of