Support of Service Provision Related to Capital Market
Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are
ชื่อผู้ได้มา/จำหน่าย :?AVENUE ASIA CAPITAL PARTNERS, L.P AVENUE ASIA INTERNATIONAL LIMITED AVENUE ASIA INVESTMENTS FUND, L.P. AVENUE ASIA SPECIAL SITUATIONS FUND II.L.P. | ประเภทหลักทรัพย์ : หุ้น
ชื่อผู้ได้มา/จำหน่าย :?นาย เจริญ สิริวัฒนภักดี คุณหญิง วรรณา สิริวัฒนภักดี GOLDEN CAPITAL (SINGAPORE) | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 24/07/2562
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A