regulations on private placement by SMEs is available at https://www.sec.or.th/TH/Pages/LawandRegulations/SME-PP.aspx. ______________________ Notes:*- Notification of the Securities and Exchange Commission
is available at https://www.sec.or.th/TH/Pages/LawandRegulations/SME-PP.aspx. ______________________Notes: *- Notification
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
committing undue acts toward his clients? assets and using a client's trading account to trade securities for his own interest and was deemed offenses under the Notification of the Capital Market Supervisory
Sanction Committee, they have become persons having untrustworthy characteristics for holding the position of company director and executive pursuant to the Notification of the Securities and Exchange
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned
to seek benefits for themselves, which was deemed failure to perform duties or provide services with loyalty pursuant to the Notification of the Capital Market Supervisory Board.*The SEC has revoked
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
decision,? said Mr. Rapee. ________________________ * - The SEC Office Notification No. Sor Thor. 25/2559 Re: Rules in Detail concerning Advertisement and Sale Promotion of Securities and Derivatives
Clause 20(5) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Intermediaries to Perform Duties of Analyzing Investment and Giving