(UNOFFICIAL TRANSLATION) (Updated 2017) 2. Background and Details of Applicant Requesting Approval 1. First and last name of the applicant Mr. Ms. Mrs. Others (please specify
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
his approved investment consultant status had expired earlier, the SEC will not consider an application for approval as capital market personnel for two years. Taking into account of a 16 day suspension
for his remaining approved status. The rest of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel. The SEC's order has been in
business operators from responsibility in the outsourced activities.The business operators will be allowed to outsource the activities to any other business operators without seeking for the SEC approval but
: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Owing to the fact that her approved investment consultant status
e-service Online Submission See canceled document Derivatives Dealer >> Licensing / Registration (Section 16) Type Title Section See Document Status Notified Date Effective Date 1. Notification of
e-service Online Submission See canceled document Derivatives Dealer >> Licensing Type Title Section See Document Status Notified Date Effective Date 1. Notification of the Securities and Exchange
e-service Online Submission See canceled document Derivatives Agent >> Licensing / Registration (Section 16) Type Title Section See Document Status Notified Date Effective Date 1. Notification of
e-service Online Submission See canceled document Derivatives Agent >> Licensing Type Title Section See Document Status Notified Date Effective Date 1. Act The Derivative Act B.E. 2546 16 03/07