– and to welcome AIGCC as a co-organiser – to foster knowledge sharing and capacity building on responsible investment themes for institutional investors and capital market participants in Thailand
served.*Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving
it may lead to total loss of investment money. The SEC strongly urges investors interested in high-risk products to contact properly licensed business operators only. The
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital
future application for approval as personnel in capital market business shall not be accepted for five years. In any case, since Krungthai Zmico has already suspended her from the role of investment
Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clause 23(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 re: Regulations for Personnel of
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
.?? _______________________________Note: The misconduct of the five investment consultants were in violation of Clause 23(2) and 23(3), and liable to the prohibited characteristics of personnel in the capital market under Clause 31(1) of