Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012; classified as prohibited
to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012; classified as prohibited characteristics of personnel in the capital market according to Clause 6(1) of
Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor
shall remain for 7 months and fifteen days, effective from October 9, 2014.Note: Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited
suspended her approval of the capital market investment consultant and investment planner for 6 months, effective from December 9, 2014.Note: *Clause 23(1) and prohibited characteristics of personnel in the
: *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the
Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market
financial statements of Renaissance FMC, which constitutes a prohibited characteristic for an auditor in the capital market*. Accordingly, the SEC resolved to revoke Ms. Sulalit’s approval as a capital
qualification and prohibited characteristics of director and executive of securities company; “manager of infrastructure fund” means infrastructure fund manager and fund manager; “infrastructure fund” means
วกบั market sentiment / sentiment กลุ่มอุตสาหกรรม ✓ ✓ ✓ ตอบค าถามเก่ียวกบัการลงทุนเป็นรายหลกัทรัพย ์ (พื้นฐาน) ✓ 1 ✓ ตอบค าถามเก่ียวกบัการลงทุนเป็นรายหลกัทรัพย ์ (เทคนิค) ✓ 2 1 ยกเวน้นกัวิเคราะห์