coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

all sectors of the capital market, namely the Association of Thai Securities Companies (ASCO), the Association of Investment Management Companies (AIMC), the Thai Bankers Association, the Association of

Board No. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017.** Investment Consultant of Complex Products Type 1 is approved to give investment advice

One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to

investment.  The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge

demonstrating inappropriateness for acting as capital market business personnel.  Investors are strongly advised not to give passbooks and signed withdrawal slips to investment consultants to facilitate execution

funds, venture capital firms, and ultra-high net worth investors. With respect to individual investors, SEC has received diverse comments involving restrictions on investment in ICO. Therefore, SEC will

have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment

also come with tax benefits.”At the seminar, a lecture on the topic of “Investment Under Islamic Principles in the Thai Capital Market” was given by Mr. Isares Mahamad, Sheikhul Islam Office

personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Teerasak as an investment consultant for complex products Type 2 (IC