Complex Type 2 Investment Consultant
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
consultant for complex products type 1 and investment planner, and (2) {B}, capital market investment consultant, for a period of two years six months each.In the case of {A}, the SEC's inspection revealed
Capital Market Supervisory Board’s regulations.* Therefore, the SEC has revoked Sareerat’s approval as Investment Consultant for Complex Products Type 2** for 10 years. However, since her approval has
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
35 Agriculture Investment Consultant 0 0 0 0 0 0 0 0 0 0 0 0 Complex Type 1 Investment Consultant 9,616 9,721 9,797 9,916 10,011 10,067 10,210 10,348 10,538 9,905 9,967 10,070 Complex Type 2 Investment
equivalent positions in the capital market business; (2) {A}: his status as an approved investment consultant for Complex Financial Products Type 2 is revoked and he will be barred from working
consultant providing consultation only on capital market product not having complex characteristics ; (2) complex instrument investment consultant means an investment consultant providing consultation on
investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment consultant providing consultation only on capital market product not having complex