SEC therefore revoked her status as an approved capital market investment consultant and banned her re-entry as capital market personnel for one year and three months. However, taking into account that

from committing the offence since the date of the entry of the plaint until the defendant fully pays the said amount of money to the plaintiff to be collected as public revenue and ordering the

e-service Online Submission See canceled document Securities Brokerage Business >> Books & Records Requirements   Type Title Section See Document Status Notified Date Effective Date 1. Notification of

e-service Online Submission See canceled document Securities Underwriter Business >> Books & Records Requirements   Type Title Section See Document Status Notified Date Effective Date 1. Notification

e-service Online Submission See canceled document Securities Dealer Business >> Books & Records Requirements   Type Title Section See Document Status Notified Date Effective Date 1. Notification of

e-service Online Submission See canceled document Derivatives Agent >> Books & Records Requirements   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Derivatives Dealer >> Books & Records Requirements   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

จาํหน่ายหนงัสือพ๊อคเก็ตบุ๊กและการต์นูอิเลก็ทรอนิกส ์(E-Books) ทีเพิมมากขนึ 2. ตน้ทนุและคา่ใชจ้่ายสาํหรบังวดเกา้เดือนของปี 2563 รวม 78.77 ลา้นบาท หรอืเพิมขนึรอ้ยละ 162.3 เมือ เทียบกบัช่วงเดียวกนัของปี

Companies | - |- Registered Companies | - |- Know Your Clients | - |- Risk Disclosure | - |- Books & Records Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control

Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of