investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
Capital Market Supervisory Board.* SEC has therefore revoked the approval and will not accept her future application for approval as personnel in the capital market business for a period of 10 years
March 2020. ______________________Notes: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital
capital market personnel for a period of three months and 22 days. In this regard, Asia Wealth has already suspended her from work for six months. As a result, the SEC's suspension is deemed to have been
Insurance Public Company Limited (BKI). Following a referral from the Stock Exchange of Thailand, the SEC?s further inspection has revealed that Chai, then chairman and chairman of the executive board of
applications for approval as capital market personnel for the period of three years; Revocation of {F} and {G}'s approval status as securities investment consultant and will not consider their application for
communicated to related staff members. Revised Trade Competition Supervisory Measures On July 7, 2017, the Trade Competition Act, B.E. 2560 (2017) was promulgated in the Government Gazette, repealing the Trade
intermidiary’s personnel who perform such functions and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary
___________________________ 8 Clause 22 In providing investment analysis or consultation to clients under Clause 38 of the Notification on Standard Conduct of Business, an intermidiary’s personnel who perform such functions
in submitting inquiries and expressing beneficial opinions in a meeting, to the best of their abilities; senior management shall not serve as full-time employees at other organizations, and shall