having obtained an approval or deemed to be obtained approval from the Office to use back office service from service provider prior to the effective date of this notification, shall continue to engage

Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) PAGE (UNOFFICIAL TRANSLATION) - 11 - Readers should be aware that only the original Thai text has legal force and that

Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly

market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex

leading the public to believe that the said company is: (1) a social enterprise thus allowed to make a public offering without the requirement to obtain approval or file a registration statement with SEC

the public to believe that the said company is: (1) a social enterprise thus allowed to make a public offering without the requirement to obtain approval or file a registration statement with SEC, and

characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her

personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Teerasak as an investment consultant for complex products Type 2 (IC

Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own

Capital Market Supervisory Board’s regulations.* Therefore, the SEC has revoked Sareerat’s approval as Investment Consultant for Complex Products Type 2** for 10 years. However, since her approval has