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
considered that she had already been suspended by her employer no less than the said period, the suspension imposed by the SEC is deemed to have been served.* Clauses 20(1) and (2) of the Notification of
of Clauses 20(2) and 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and
trading. The acts of {A} and {B} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
November 8, 2014. *Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2012 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and
Notification of the Capital Market Supervisory Board*. Accordingly, the SEC has revoked her approval as an investment consultant for Complex Products Type 2** for a period of 10 years. However, as Miss
(if any): _______________________________________________________________________ Part I: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the
): _______________________________________________________________________ Economy(-ies) of a qualifying delegate and sub-delegate (if any): _______________________________________________________________________ Part I: Declaration I/We certify the following: 1. I/We am
: Declaration I/We certify the following: 1. I/We am/are under supervision of the Securities and Futures Commission of Hong Kong which has the authority to impose sanctions or to order the Hong Kong Covered