Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC revoked {A
unlawful personal gains in violation of the Notification of the Capital Market Supervisory Board concerning Rules on Capital Market Personnel*. The SEC has therefore revoked the approval as equity investment
Personnel Director & Executive - - - - - - Member of fund investment committee - - - - - - Fund manager - - - - - - Investment Planner - - - - - - Investment Consultant /1 - 6 12 - 4 10 Other Professionals
TOWER, ROOM NO.1701, 1702 17TH FL., PLOENCHIT ROAD, LUMPINI, PATHUMWAN, BANGKOK 10330 LUMPHINI, PATHUM WAN, Bangkok 10330 Tel. 02-880-6000 Fax. 02-680-5112 4. GUARDIAN CAPITAL ASSET MANAGEMENT COMPANY
or incompetency or other cases as determined by the Board of Directors and/or the person(s) entrusted by the Board of Directors, such persons or their heir, guardian or curator shall be entitled to
Company’s operation, death or disability or incompetency or other cases as determined by the Board of Directors and/or the person(s) entrusted by the Board of Directors, such persons or their heir, guardian
of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore sanctioned three investment consultants as follows: 1. Suspended {A} from her
therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
business personnel for a period of seven years and six months, effective from 8 August 2020. In addition, SEC has found that this misconduct had been partially caused by Mrs. Prapai Songserm, the bank’s
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