derivatives businesses. The SEC thus prohibits him from performing executive duties for securities and derivatives business operators for ten years during the revocation of his investor contact status.
capital market personnel has been set in lieu of the revocation because her approved capital market investment consultant status has ended since December 31, 2014 without a renewal. The said period is
market personnel has been set in lieu of the revocation because her approved capital market investment consultant status has ended since December 31, 2014 without a renewal. The said period is effective
Officer 9. Report/Form (Notification of Securities and Exchange Commission) Form EF-4 Revocation of Certifier or Authorized Officer 10. Circular 6/2550 15/03/2007 11. Circular 12/2547
>> Revocation of License Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and Exchange Act 2535 147 12/03/1992 16/05/1992 Contact The Securities and Exchange
Disqualifications for Management (section 103) |- OTC Securities Dealer (section 114) |- Revocation of License (section 147) |- Others (Securities Business) |- Separation of Securities and Finance Businesses
’ digital assets to offset net capital required;(b) Specified details for added clarity on use of insurance policies;(c) Revocation of the provision concerning capital requirements for business operators
The revocation followed Apple Wealth Securities’ inspection report regarding three clients’ complaints against Nutnicha and the SEC’s further investigation, which revealed Nutnicha’s misconduct as
Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading
Kornyachath as capital market business personnel for 10 years, starting from 9 December 2016. A re-entry application will not be accepted until the revocation period ends. ____________________ * Violation of