arenas and builds confidence of Thai and foreign investors, (2) creating proactiveness and expanding knowledge of Thai capital market personnel regarding international market developments, (3
results in Montika and Thai to have prohibited characteristics of capital market personnel pursuant to the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited
the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant for 4
Supervisory Board concerning personnel in the capital market*, the SEC therefore disclosed inappropriate behavior of {A} for failure to completely record client's trading orders and suspended him from the duty
securities trading was made from the client and seeking benefits from client during performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the
Personnel in the Capital Market Business dated 3 June 2014, and were thus suspended as securities investment consultant. The person in (2) was in contravention of Clause 31(1) and Clause 33(3) of the
.____________________________Note: The misconducts of the eight investment consultants and branch manager {I} were in violation of Clause 23(1) and were deemed prohibited characteristics of capital market personnel under Clause 31(1
e-service Online Submission See canceled document Investment Advisory >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Derivatives Advisors >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Limited BDU >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market