Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC, therefore, has imposed the suspension of securities investment consultant approval on {A} for 20 days, from
. Set the period for acceptance of re-application of {B} as the capital market business personnel for 3 months, effective from June 27, 2015. 3. Suspended {C} from her duty as the approved securities
Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014.In addition, failure to comply with Clause 14(2) of the Notification No. SorKhor
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 Investment Advice dated
prohibited characteristics under the Notification of the Capital Market Supervisory Board concerning prohibited characteristics of personnel in capital market business or fails to comply with Clause 8, the SEC
of An Infrastructure Trust Digital Asset Business Operators Secondary Market and Related Entities https://www.sec.or.th/EN/Pages/LawandRegulations/AuditorAccountsT.aspx Thai DigitalAssetBusiness
Management business, the Bank sold non-performing assets (NPAs) totaling Baht 171 million and had gain of Baht 64 million. Financial Market business generated revenue of Baht 70 million during 1Q19. For
in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557. The SEC therefore suspended {A} from his duty as the approved capital
and derivative business operators throughout such same period. * Clause 4 and Clause 31(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in
duties honestly in violation of Clause 23(1) and characteristics of personnel in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8