investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Phisit as an investment consultant for complex products Type
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned
committing undue acts toward his clients? assets and using a client's trading account to trade securities for his own interest and was deemed offenses under the Notification of the Capital Market Supervisory
amount of damage to several clients.Pisist's misconduct above is deemed a failure to perform duties honestly in accordance with the Notification of the Capital Market Supervisory Board*. The SEC has
/1) “ connected person ”: (a) in the part relating to offeror means “ connected person ” in accordance with the Notification of the Capital Market Supervisory Board concerning Subscription
relating to offeror means “connected person” in accordance with the Notification of the Capital Market Supervisory Board concerning Subscription, Underwriting and Allocation of Newly Issued Securities; (b
means “connected person” in accordance with the Notification of the Capital Market Supervisory Board concerning Subscription, Underwriting and Allocation of Newly Issued Securities; (b) in the part
prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the