, as amended. *** An investment consultant for Complex Instruments Type 2 is allowed to give advice to investors about capital market products
consultants are not allowed to make investment decisions for investors, no matter if the investors give a consent or not, and they have to perform professional duties with loyalty and integrity at all times
concealing the fraud by extending the maturity terms of such B/E issues several times. The fraud was supported and assisted by (5) Thepthiwa, who knew Pattarapob and Sunchai. In so doing, Thepthiwa allowed his
/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017. ** investment consultant for complex products Type 2 is allowed to give investment advice on all types of
facilitates Thai companies? securities offering in the European Union (EU) members as Thai auditors are allowed to audit and certify their financial statements without having to register with independent audit
personnel for two years, starting from 14 September 2016. During the suspension period, {A} is not allowed to work in the managerial or advisory areas in the company, nor could he perform any other duties as
buying and selling such shares. Sippakorn helped to provide three trading accounts for submission of trading orders while Rinnapa allowed trading orders to be submitted through her account. Such
should be allowed to be offered to local investors directly.In the area of fees and expenses, Thailand scored above average; owing to the fact that Thai mutual funds generally do not charge trading fees
progress that reflects their awareness and serious effort against corruption. ?The assessment allowed each listed company to realize its anti-corruption development level and thus enabled the company to
Group Securities Plc., the SEC's probe revealed that with a view to speculation, {C} and {D} jointly purchased PAO shares off-exchange before PAO shares were allowed to resume trading on-exchange. They