for investment consultants.As a result, she was disqualified from being investment consultant under Clause 18(1) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated
capital market*, the SEC therefore suspended {A} from his duty as the approved securities investment consultant for one year and six months. Having considered that {A} had already been suspended by his
therefore suspended {A} from his duty as the approved securities investment consultant for one month, effective from February 23, 2015.---------------* Clause 20(2) of the Notification of Capital Market
Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the
benefit of themselves or others. The SEC therefore imposed the following sanctions:*Revocation of {C} and {D}'s approval status as capital market investment consultant and will not consider their
Bangkok, November 29, 2013 - The SEC imposed a one-month suspension of approval on {A}, a securities investment consultant of Phatra Securities Plc., effective from November 29, 2013.This follows a
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment
At present, securities and derivatives business operators (Thai business operators)* are allowed to provide services for Thai investors’ investment in foreign capital market products through business