BROCK: BAAN ROCK GARDEN PUBLIC COMPANY LIMITED BROOK: THE BROOKER GROUP PUBLIC COMPANY LIMITED BRR: BURIRAM SUGAR PUBLIC COMPANY LIMITED BSBM: BANGSAPHAN BARMILL PUBLIC COMPANY LIMITED BSM: BUILDERSMART
BROCK: BAAN ROCK GARDEN PUBLIC COMPANY LIMITED BROOK: THE BROOKER GROUP PUBLIC COMPANY LIMITED BRR: BURIRAM SUGAR PUBLIC COMPANY LIMITED BSBM: BANGSAPHAN BARMILL PUBLIC COMPANY LIMITED BSM: BUILDERSMART
ROCK GARDEN PUBLIC COMPANY LIMITED BROOK: THE BROOKER GROUP PUBLIC COMPANY LIMITED BRR: BURIRAM SUGAR PUBLIC COMPANY LIMITED BSBM: BANGSAPHAN BARMILL PUBLIC COMPANY LIMITED BSM: BUILDERSMART PUBLIC
ROCK GARDEN PUBLIC COMPANY LIMITED BROOK: THE BROOKER GROUP PUBLIC COMPANY LIMITED BRR: BURIRAM SUGAR PUBLIC COMPANY LIMITED BSBM: BANGSAPHAN BARMILL PUBLIC COMPANY LIMITED BSM: BUILDERSMART PUBLIC
Securities Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in complex fund sale system accordance with the
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment