Investment Advice dated January 18, 2012. The SEC therefore has suspended {A} for six months. Due to his approval status which will expire by December 31, 2012, the suspension period shall therefore remain
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 was prohibited
Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and
approved exemption of application fee for an approval of public offering of shares and the Stock Exchange of Thailand (SET) to exempt the application fee for listing of ordinary shares as listed securities
duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories: Category A investor contact referring to investor
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
,” giving advice on digital asset investment or quoting digital asset value, and in the case of “digital asset fund manager,” giving investment management service or making digital asset investment
re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for three months and {B
securities trade order instructions are the violation of Clause 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators
are in violation of Clause 20(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