characteristics of capital market business personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 87/2557 Re: Rules on Personnel in the Capital Market Business
Act 2535 100 12/03/1992 16/05/1992 2. Act Securities and Exchange Act 2535 115 12/03/1992 16/05/1992 3. Notification of Capital Market Supervisory Board Tor Thor. 34/2556 Repeal of the
Unofficial Translation Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market
: * Pursuant to Clause 31(3) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014 (Notification No. Tor Lor
any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorNor
have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment
duty with responsibility and deliberation as a professional. Her misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended her approval as
) Notification of the Capital Market Supervisory Board No. Tor Jor. 10/2567 Re: Filing of the Registration Statement for Securities Offering (No. 22), dated 2 April 2024: https://publish.sec.or.th/nrs/10177s.pdf
(1) and the 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
failure to perform duties or give services with loyalty, responsibility and deliberation as a professional in contravention to the Notification of the Capital Market Supervisory Board.* SEC has therefore