and expectation without having supporting information or documents to back up his claim were in contravention of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended
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
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
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
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