Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The
securities trading orders is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
asset exchange and a digital asset broker, did not provide management structure, operating system and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.94 in
appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently that violate section 113 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick
Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel
-committee members, advisors, staff members, employees, or persons who work for derivatives exchanges from unlawfully seeking benefits by using the information obtained during the performance of their duties
attentiveness and accumulate knowledge of market personnel regarding developments in international capital markets, promote academic opportunities and expand perspectives of such personnel through global
has revised such regulations for the business providers to be able to mandate their operation to outsourcee with proficient personnel and working system as business operators, but the operation must
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
damage to the client. With reference to the bank?s report on the client?s complaint and the SEC's further inspection, {A} was found to have signed on the unit redemption form of Bualuang Long-Term Equity