investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of Nattapon Chalermpot and

Fund under HK-TH MRF with the Securities and Exchange Commission of Thailand (SEC). 1.2 Approval rules The Hong Kong Covered Management Company and the Hong Kong Covered Fund under HK-TH MRF shall have

of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is

of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association1, with an approval of the SEC Office, except that the intermediary which is

? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s

his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with

records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send

(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (General Case) Authority: the Office of the Securities and Exchange Commission (public agency) Rules

would be required to ensure that investors who are not legal entities classified as institutional investors, ultra-high-net-worth investors or high-net-worth investors take a knowledge test before

Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch