. _____________________________Remark: * Clause 23(2) and deemed to be the prohibited characteristic of the personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor
prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the
the personnel in the capital market business under Clause 31(1) of the Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014
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
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
Market and Related Entities Enforcement Class https://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/CLASSACTION.aspx English (United States) Market Misconduct Infrastructure Trust Digital Asset Business
Trust Digital Asset Business Operators Secondary Market and Related Entities Enforcement Class https://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/CLASSACTION.aspx English (United States) Market Misconduct
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