branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
approval as securities investment consultant and banned him from re-entering the capital market and performing duties as a branch manager for any business in the industry for 10 years. Since the period of
sell tap water to the PWA Panatkikom Branch at the investment value of 237 million baht. To raise fund for this investment, UREKA will raise capital through a rights offering of common shares and seek
holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital
the period of three months, approximately. There was, however, no record of the client?s registration for the internet trading at the branch during such period. Atthapol admitted to Krungsri Securities
Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch
Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch
SorNor. 46/2553 Establishment of Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours (No. 2) http://capital.sec.or.th/webapp/nrs
of Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours (No. 2) http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1
of Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours (No. 2) http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1