instruments type 1** for {A} for a period of 12 months, and the approval as investment consultant for complex instruments type 1 and investment planner for {B} for a period of 12 months***, starting from 9

Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the

suspension imposed by the SEC shall remain one month, effective from January 8, 2015. Besides, {A} has been approved as an investment planner and held a position equivalent to a department director while the

planner** for three months and 22 days, effective from 22 April 2019.The SEC strongly advises investors against allowing investment consultants to make securities trading decisions on their behalf

consultant for complex products type 1 and investment planner, and (2) {B}, capital market investment consultant, for a period of two years six months each.In the case of {A}, the SEC's inspection revealed

investment planner, for three months starting from 7 April 2020.  _______________________Notes: *  Failure to perform duties with responsibility and deliberation as a professional under

ปีปฏิทินล่าสุด ก่อนครบอายุการให้ความเห็นชอบ ซึ่งเป็นการอบรมเดียวกับที่กำหนดไว้สำหรับผู้แนะนำการลงทุน (Investment Consultant : IC) และผู้วางแผนการลงทุน (Investment Planner : IP) ซึ่งอาจมีเนื้อหาการอบรมไม่

investment planner, classified as a new category of regulated capital market personnel.

, investment analyst and investment planner, and at the amount of 10,000 baht in case of a fund manager.    SEC has therefore proposed amendments to the regulations on supervision of capital market

SEC has imposed a 40-day-suspension on {A} as a securities investment consultant, and a two-month suspension on {B} as a securities investment consultant and investment planner. In addition, {B} was