upon the date when the offenders affix their signature on the letter of consent to comply with the civil sanctions determined by the Civil Sanction Committee. If any of them declines to give consent
the civil sanctions determined by the Civil Sanction Committee. If any of them declines to give consent for the civil sanctions, the SEC will notify the public prosecutor in writing for filing the case
allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g., investment units of mutual funds for
, as amended. *** An investment consultant for Complex Instruments Type 2 is allowed to give advice to investors about capital market products
to the following cases taking place at different branches: (1) In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual
/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017. ** investment consultant for complex products Type 2 is allowed to give investment advice on all types of
the area of capital market. Furthermore, FAP will give advice, conduct on-site visit and improve their audit quality in accordance with Thai Standard on Quality Control (TSQC 1), Quality Control for
material particular, providing an investment analysis or a forward looking statement based on false or distorted data. It is imperative that the persons who give information or opinions to the public be
efficient channel by listing on the exchange and give investment opportunity for provincials who will be proud of their local businesses listed on the bourse. Increasing number of listed firms will benefit
decision. Shareholders can seek clarification from the company?s executives in the shareholders? meeting day. Those who cannot attend the meeting should give proxy to others and clearly state their own