suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already penalized Prapai by prohibiting her from
increase of trading credit lines of several clients who submitted incomplete financial documents, or whose financial condition was materially inconsistent with their financial transactions, or whose
warrants and underlying shares to the public shall file with the Office an application together with supporting documents as specified by the Office, which are jointly prepared by a financial advisor whose
complete its consideration on the request under clause 4 within fifteen working days as from the date the Office has notified the management company in writing that the Office has received complete documents
company in writing that the Office has received complete documents. In the case where the Office requests the management company to explain or to provide additional documents within a specified period, if
approved list of the SEC Office; (15) “fund supervisor” means the supervisor of a fund; (16)2 “common person group” means the persons with one or more of the following relationships: (a) spousal relationship
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
called otherwise who take the highest responsibility in the line of work relating to capital markets, the exemption will be given to only one [1] person for each securities company; or (2) being listed in
position called otherwise who take the highest responsibility in the line of work relating to capital markets, the exemption will be given to only one [1] person for each securities company; or (2) being