) application for approval of personnel whose name is listed in the registration for personnel who possesses qualification to perform the duty of fund manager under the Notification of the Office of the
system and personnel. The proposed revision is to introduce a compilation of rules, at present, stipulated in a number of regulations; for instance, rules and conditions concerning business undertaking and
market business personnel for 10 years, starting from 10 February 2018. ___________________ *Violation of Clause 23(1) and possessing the prohibited characteristics of capital market business personnel
the approval for {A} as capital market investment consultant for complex products type 1** and investment planner, and banned him from applying for a new approval as capital market business personnel
her from applying for a new approval as capital market business personnel for a period of 10 years, effective from 14 March 2019.Investors are advised to be careful and cast doubt on any solicitation
Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors
asset exchange and a digital asset broker, did not provide management structure, operating system and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.94
appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently that violate section 113 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick
Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel