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
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
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
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
. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section
. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the
. Notification of Capital Market Supervisory Board Tor Lor Thor. 8/2557 Rules on Personnel in the Capital Market Business (Codefied) 03/06/2014 01/07/2014 Notification of Capital Market Supervisory Board
Market Supervisory Board Tor Lor Thor. 8/2557 Rules on Personnel in the Capital Market Business (Codefied) 03/06/2014 01/07/2014 Notification of Capital Market Supervisory Board TorLorThor. 8/2557
Effective Date 1. Act Securities and Exchange Act 2535 103 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board Tor Lor Thor. 8/2557 Rules on Personnel in the Capital Market