from May 30, 2015. * Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
Bangkok, April 27, 2016 ? The SEC has revoked approval as securities investment consultant of three employees of AIA Co., Ltd., namely (1) Atcmima Pattanapinyokul, (2) Laddawan Preechasiriratna, and
Notification of the Capital Market Supervisory Board*. Accordingly, the SEC has revoked her approval as an investment consultant for Complex Products Type 2** for a period of 10 years. However, as Miss
failure to perform her duties or provide services with honesty and good faith, which is deemed a prohibited characteristic for capital market business personnel under the Notification of the Capital
characteristics under the SEC Office Notification concerning financial advisor approval and scope of performance B.E. 2552. The SEC, therefore, revoked the financial advisor supervisor approval granting to {A}.In
Commission No. Kor Jor. 16/2561 Re: Rules, Conditions and Procedures for Granting an Approval to Digital Token Portal Service Provider, dated 3 July 2018 (“Notification No. Kor Jor. 16/2561”) as well as
. *** The five relevant regulatory notifications are as follows: (1) Notification of the Capital Market Supervisory Board No. Tor Jor. 60/2566 Re: Application for Approval of Public Offering of Newly Issued
relevant notifications are as follows: (1) The Notification of the Securities and Exchange Commission No. KorThor. 11/2566 Re: Application for Approval and Granting of Approval for the
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital