, effective from 20 May 2020. In addition, the affected investors have filed complaints with the inquiry official for a criminal action against Napasook. The case is under consideration in accordance with

bonds must not have negative issues on good corporate governance and must be invested at the proportion of no less than 60 percent of the net asset value (NAV), either in the primary or secondary

have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment

capital of 5 million baht, requiring to have proper management structure and adequate personnel for business operations. ICO portals must be well-prepared to due diligence ICO issuers, assess business

Criminal Fining Committee therefore fined him 5,560,000 baht.In addition, the criminal fine caused {A} to have untrustworthy characteristics of director and executive at any listed company* for two years

, the suspension imposed by the SEC is deemed to have been served. For {B}, the SEC suspended her from duty as the approved equity investment consultant for one month, effective from March 16, 2015

. In a number of cases, the clients authorized the investment consultants to make trading decisions on their behalf. Usually, those clients did not have enough time or viewed that the investment

license (limited brokerage, dealing or underwriting of investment units). The minimum paid-up capital requirement will be lessen from 100 million baht to 10 million baht for the applicant that has no

license (limited brokerage, dealing or underwriting of investment units). The minimum paid-up capital requirement will be lessen from 100 million baht to 10 million baht for the applicant that has no client

the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014 which have been promulgated in