e-service Online Submission See canceled document Securities Underwriter Business >> Revocation of License (Section 147)   Type Title Section See Document Status Notified Date Effective Date 1. Act

e-service Online Submission See canceled document Securities Dealer Business >> Revocation of License (Section 147)   Type Title Section See Document Status Notified Date Effective Date 1. Act

business operator after license revocation, and (6) stating the scope on supervision of infrastructure service providers in the capital market which would allow the operators to conduct their business

revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the

of the said two notifications. In addition, the revocation of an approval as investment consultant is one of the prohibited characteristics of personnel in the capital market under Clause 30(5) of

The action follows the revocation of Renaissance FMC’s securities business and derivatives business licenses due to conduct demonstrating a lack of credibility, operational readiness, and serious

serious damage to investors or the public interest.    (4) Clarifying the revocation of seizure or attachment of assets of juristic persons, and authorizing other persons to conduct examinations on behalf

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

provide services with loyalty* by committing wrongful acts against investors’ assets, which was an offense liable to revocation of approval as investment consultant. However, the approval as securities

Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the