Bangkok, August 14, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board approved the streamlining of structured notes regulations to boost
ลักษณะเป็น Plain Vanilla Coupon Bond แต่ตราสารดังกล่าวใช้ชื่อว่า Structured Notes ที่ออกภายใต้ Structured Note Program เนื่องจากธนาคารได้ขออนุญาต
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
Notification of the Capital Market Supervisory Board*. Accordingly, the SEC has revoked her approval as an investment consultant for Complex Products Type 2** for a period of 10 years. However, as Miss
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
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
-high net worth investors, investment units of mutual funds with investment in derivatives, hybrid securities, and structured notes.*** Any applications submitted by Mr. Soontorn for SEC approval to be
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
units of mutual funds with investment in derivatives, hybrid securities, and structured notes. ***Saowarat’s application for obtaining SEC approval to be personnel in the capital market business during
, investment units of mutual funds with investment in derivatives, hybrid securities, and structured notes. ***Teerasak’s application for obtaining SEC approval to be personnel in the capital market