Investment Banking Club will support this project by giving advice to potential business recommended by the Federation or Thai Industries and Thai Chamber of Commerce on organizational management, capital
which they invest. In addition, shareholders will be able to ask questions as business partners. TIA is also the shareholders of every listed company and exercise its rights by giving proxy to the right
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 which
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 and Clause 23(2) of the
the Notification of 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
Clause 20(1) and (2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving
Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {B} and {C} from duty as an approved securities investment consultant for a period of one month and three months
regard, {C} admitted giving advice and taking the client?s trade orders via mobile phone.The SEC found {D} case during its routine inspection that showed her failure to record some of her advice and
Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No
account to trade securities for the benefit of themselves or others. {H}'s action was deemed performing duties beyond the scope of employment, taking advantage of client by virtue of duties, and giving