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
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
intention to use other assets for his own benefits. His actions deemed a breach of Clause 14 (1) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated
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
investors correctly and completely and without sufficiently notifying or giving information that was important and relevant to investors’ decision making, in contravention of the Notification concerning