characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
, especially when solicited and promised higher profits with no risks. If the investing public are not observant, not informed, and not fully of the understanding of the products, or if they invest in
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
in Cambodia with details as follows: 1. Date of Transaction : Within Quarter 3/2018 2. Characteristic of the Transaction Parties : 1. M Pictures Entertainment Public Company Limited. 2. MVP
financial statements of Renaissance FMC, which constitutes a prohibited characteristic for an auditor in the capital market*. Accordingly, the SEC resolved to revoke Ms. Sulalit’s approval as a capital
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated 18 January 2012, which is deemed a prohibited characteristic of capital market business personnel under Clause 6(1) of
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