Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
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instrument that will be effective from 1 January 2020. The report form will be revised to be in line with the financial statement form which has recently been revised. In addition, SEC considers it
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
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the termination of membership. Deficiency of the termination of membership for any reasons or PVD members’ failure to receive cheques have brought about soaring unclaimed money, which the AMCs are
consultant providing consultation only on capital market product not having complex characteristics ; (2) complex instrument investment consultant means an investment consultant providing consultation on
characteristics; (2) complex instrument investment consultant means an investment consultant providing consultation on capital market product not having complex characteristics as well as the product having high
following the date of its publication in the Government Gazette. SECTION 3 In this Act: “trust” means legal relationship arising from a trust instrument. “trust instrument” means a contract whereby a person