future application for approval as personnel in capital market business shall not be accepted for five years. In any case, since Krungthai Zmico has already suspended her from the role of investment
inappropriateness for acting as capital market business personnel. Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to
therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to
business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Phisit as an investment consultant for complex products Type
Supervisory Board.* Therefore, SEC will not accept his future application for approval as personnel in the capital market business for a period of five years, effective from 25 February 2020. Investors are
Commission No. SorKhor. 39/2554 Re: Extension for Period of Approval and Filing Application for Approval of Extension of Personnel in Capital Market Business in Special Circumstances Whereas the first
. ---------------------------------------- Note: * Clause 23(2), which specifies a prohibited characteristic of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re
personnel in the capital market business under Clause 31(1) of No. TorLorThor. 8/2557. The SEC, therefore, revoked the approval from their duties as securities investment consultants and will not consider
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