violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital

*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Having considered that {A} had already been suspended by her employer for a month, the

to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product

Currently, asset management companies have established mixed funds with more diversified asset allocation to meet different demands of investors and to enhance efficiency for managing investment

allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities

subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the

allocation) นางดวงมน จึงเสถียรทรัพย์ ผู้ช่วยเลขาธิการ ก.ล.ต. กล่าวว่า ก.ล.ต. มีแนวคิดที่จะปรับปรุงแบบประเมินความเหมาะสมในการลงทุน (suitability test) ให้เป็นมาตรฐาน และรองรับการลงทุนในผลิตภัณฑ์ทางการเงินในตลาด

and Allocation of Securities to the Specific Investor (Private Placement) To The President The Stock Exchange of Thailand Attachment 1. Information Memorandum regarding the Acquisition of Assets and

and Allocation of Securities to the Specific Investor (Private Placement) (Amendment 2) To The President The Stock Exchange of Thailand Attachment 1. Information Memorandum regarding the Acquisition of

Allocation of Securities to the Specific Investor (Private Placement) (Amendment 3) To The President The Stock Exchange of Thailand Attachment 1. Information Memorandum regarding the Acquisition of Assets and