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
market personnel for 10 years, effective from 6 January 2020 onwards.Investors are strongly advised to be careful in their fund investment and request transaction evidence issued by banks or asset
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and
Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months
securities trading decisions on behalf of client was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Atthapol from
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
, 2017, were issued to improve regulations, procedures and conditions for conducting business of credit card and personal loan under supervision, effective September 1, 2017, with salient points as follows
. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the
performance of personnel in the capital market. These initiatives fall under the Strong Securities Issuers Project and focus on preventing, deterring and suppressing inappropriate behaviors and misconduct. A
are provided to ensure that executives and employees perform the duties with integrity and ethics: 1.2.1 Appropriate code of conduct for executives and employees; 1.2.2 Prohibitions on any actions by