, and (2) an SME or a startup thus allowed to raise fund in both the primary and secondary markets as well as to make a private placement and a public offering without the requirement to obtain approval

(2) an SME or a startup thus allowed to raise fund in both the primary and secondary markets as well as to make a private placement and a public offering without the requirement to obtain approval or

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

.?Trigger fund attracts a lot of investors? interest. This regulatory amendments aim to give investors an access to clearer and fuller disclosure of such funds before making a well-informed investment

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