to provide investors with quality and standard services from business operators.The regulations will require business operators to provide personnel, communication system, customer service system
providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation
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
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
Executives of securities companies and personnel in securities business Registered Person in Derivative Business Broker, Dealer, Underwriter and other securities businesses Related Organizations Digital Assets