Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The
) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated
securities trading orders is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
circumstance, many audit firms in the capital market tend to postpone nomination of persons to apply for approval as auditor in the capital market, which may cause the number of auditors in the capital market
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the
Lor Thor 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC has therefore revoked Atchmima's approval as securities investment consultant for 10 years, and
Market Supervisory Board.* The SEC has therefore revoked her approval as investment consultant for complex instruments type 2** and imposed a ban on accepting any future applications for approval as
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