therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
. Notification of Capital Market Supervisory Board Tor Lor Thor. 8/2557 Rules on Personnel in the Capital Market Business (Codefied) 03/06/2014 01/07/2014 Notification of Capital Market Supervisory Board
Market Supervisory Board Tor Lor Thor. 8/2557 Rules on Personnel in the Capital Market Business (Codefied) 03/06/2014 01/07/2014 Notification of Capital Market Supervisory Board TorLorThor. 8/2557
Effective Date 1. Act Securities and Exchange Act 2535 103 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board Tor Lor Thor. 8/2557 Rules on Personnel in the Capital Market
Capital Market Supervisory Board Tor Lor Thor. 8/2557 Rules on Personnel in the Capital Market Business (Codefied) 03/06/2014 01/07/2014 Notification of Capital Market Supervisory Board TorLorThor
sessions, either in the morning or afternoon. ** Pursuant to Clause 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the
, investors should contact the compliance unit without delay._______________________ Notes: * Pursuant to Clause 23(2) and Clause 23(1) and the prohibited characteristics of personnel in the capital market
therefore revoked the approval as a capital market investment consultant and banned him from re-applying for an approval as capial market personnel for 10 years, starting from 21 October 2017.Apple Wealth