Officer 9. Report/Form (Notification of Securities and Exchange Commission) Form EF-4 Revocation of Certifier or Authorized Officer 10. Circular 6/2550 15/03/2007 11. Circular 12/2547
>> Revocation of License Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and Exchange Act 2535 147 12/03/1992 16/05/1992 Contact The Securities and Exchange
Disqualifications for Management (section 103) |- OTC Securities Dealer (section 114) |- Revocation of License (section 147) |- Others (Securities Business) |- Separation of Securities and Finance Businesses
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
Kornyachath as capital market business personnel for 10 years, starting from 9 December 2016. A re-entry application will not be accepted until the revocation period ends. ____________________ * Violation of
The revocation followed Apple Wealth Securities’ inspection report regarding three clients’ complaints against Nutnicha and the SEC’s further investigation, which revealed Nutnicha’s misconduct as
possession of prohibited characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same
applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same qualifications as when first applied and must retake and pass
placement of 1,080 https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7922 SEC instructs NUSA to clarify its asset disposition plan and revocation of share swap contract with WEH shareholders Listed
characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same https://www.sec.or.th/EN/Documents