Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products 1 Obtained a bachelor’s degree ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment
Planning (CFP module 1 and module 2, curriculum approved by the SEC Office, or any others under remark 1)2 1 Qualified to apply for, or having obtained, an approval to be a capital market investment analyst
the following changes to be made to the report so that more comprehensive information can be obtained as needed, for example, 1) country code of the securities issuer, 2) average cost of securities
are strongly advised to be careful with any solicitation to invest with the company because HashBX has not obtained an approval to operate a digital asset business from the Ministry of Finance, nor has
. The public should be aware that none of the three digital assets or ICOs have applied for or obtained an approval from the SEC. Thus, anyone receiving information or solicited to invest in such digital
Yongphithakwatana, TUCC Director and General Administration Department Director, and (4) Miss Suttirat Sewee, TUCC Director and Finance and Account Department Director, dishonestly violated their duties, obtained
risk to customers' assets. The operation shall be obtained the approval from the SEC prior to the operation, but Zipmex did not do so. Accordingly, the act of Zipmex did not operate other than the
profit decrease in Q2/2014 of 168.79 million baht which significantly fell from the operating net profit of Q1/2014 by 84.60 percent (a decrease of 1,096.04 million baht). He obtained the material non
/2014 of 168.79 million baht which significantly fell from the operating net profit of Q1/2014 by 84.60 percent (a decrease of 1,096.04 million baht). Wattanasophonpanich Co.,Ltd., obtained the material
information became public on 12 November, 2014. BKI obtained the material non- public information by Mr.Chai Sophonpanich, authorized person of BKI and director of BLA. 16/06/2017 agreed to comply with civil