Bangkok, October 31, 2014 ? The SEC Board approved reorganization of supervisory line, effective from November 1, 2014, as follows: 1. Deputy Secretary-General Chalee Chantanayingyong supervises
Mutual Recognition of Funds between Hong Kong Special Administrative Region of the Peoples Republic of China and Thailand
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market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex
business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Phisit as an investment consultant for complex products Type
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
translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By virtue of
Capital Market Supervisory Board.* The SEC has therefore imposed administrative sanctions with details as follows: (a) suspending the approval of {A} as securities investment consultant for two months