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

Board*. The SEC has therefore ordered a 10-year revocation of approval as a securities investment consultant. However, since the approval period has already ended, he is banned from re-entering as capital

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

investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years

Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing

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

without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own

. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017.   *** An investment consultant for complex

Capital Market Business (No. 7) dated 30 August 2017.   **  Investment consultant on non-complex products in the capital market and investment units or debt securities having high-risk or complex