consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account
, while dropped aggressive discount campaigns on entry packages which reflected on 25% YoY increased ARPU. During the year, screening measures for quality subscriptions were implemented, which caused a
(issued by CIS Operator) [ ] 6. A document demonstrating that the investment policy and product restrictions of NRI CIS are in accordance with those specified by the Notification of the SEC Thailand related
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating
e-service Online Submission See canceled document Investment Advisory >> Activities not deem to be classified as operating securities business Type Title Section See Document Status Notified Date