the approval for {A} as capital market investment consultant for complex products type 1** and investment planner, and banned him from applying for a new approval as capital market business personnel
personnel in the capital market business, the bank must not allow him to perform the duty of branch manager, in relation to the capital market business.*Clauses 20(1) of the Notification of Capital Market
Supervisory Board concerning the Rules on Personnel in the Capital Market Business to be a temporary highest responsible person during the process of appointing the highest level responsible person in the
December 2019, SEC will not accept his future application for approval as personnel in the capital market business for three months and 22 days, starting from 6 March 2020; (3) Suspending
her from applying for a new approval as capital market business personnel for a period of 10 years, effective from 14 March 2019.Investors are advised to be careful and cast doubt on any solicitation
market business personnel for 10 years, starting from 10 February 2018. ___________________ *Violation of Clause 23(1) and possessing the prohibited characteristics of capital market business personnel
characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2010 re: Prohibitions for Personnel of Business
consultant for a month and 10 days, effective from January 15, 2015.*Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business
served.*Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving
, effective from January 15, 2015.*Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing