credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
applications for approval as capital market personnel for the period of three years; Revocation of {F} and {G}'s approval status as securities investment consultant and will not consider their application for
also considered personnel in the capital market. As a result, his aforesaid misconduct has caused him to possess the prohibited characteristics of capital market personnel.* This deems him unfit to
market personnel for 10 years, effective from 6 January 2020 onwards.Investors are strongly advised to be careful in their fund investment and request transaction evidence issued by banks or asset
personnel prescribed in the Notifications of the Capital Market Supervisory Board*. The SEC therefore has revoked the approval of these two capital market investment consultants for a period of 10 years each
approval for him as capital market business personnel for four years, starting from 29 January 2021. As a result, he is also banned from holding the positions of director and executive of capital market
of the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business*. The SEC has therefore imposed a six-month suspension on {A}, effective from 12
personnel in Thai capital market to better accommodate investors? diverse needs. The proposed revisions cover issues, for example, the approval regime for technical analyst and determination for persons
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
Market Business Personnel dated 3 June 2014, and the prohibited characteristics of the capital market business personnel in Group 3 under Clause 31(1) of the said Act.Since the approval period for