under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to
the requesting and using of investor’s account for personal trading, even with the investor’s consent. Such conduct is deemed a prohibited characteristic for capital market business personnel under the
derivatives, hybrid securities, and structured notes.*** Ms. Naruorn’s applications for SEC approval to serve as personnel in the capital market business will not be accepted during the six-year-and-eight
Bangkok, February 28, 2012 ? The SEC has revised issuance rules governing bills of exchange (B/E), short-term debentures and complex structured products to promote more fund mobilization through debt
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
mutual funds with investment in derivatives, hybrid securities, structured notes, and derivatives.***Phisit’s application for obtaining SEC approval to be personnel in the capital market business during
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Structured Note Fund,Specific Fund | Offering Date : 21/03/2013 - 28/03/2013
Fundamental Investment Analyst on Capital Market