behalf of clients was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved
Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved capital market investment consultant for six months. Taking into account that he had
directors, managers, persons with authority to manage an advisor of financial institution, or personnel with duty to provide advice on financial services, manage or receive clients’ capital. This is because
Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last
Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. The said actions were also classified as prohibited characteristics of personnel in capital market according to Clause 6
to submit an application for approval as capital market business personnel for the applicant and notify the commencement and termination of duty performance, including renewal, of the approved
The enhancement of fund managers’ duty performance in accordance with I-Code** will be supported by Thailand ESG Data Framework – an initiative under the AIMC Three-Year Sustainable Roadmap. The
Microsoft Word - ELCID_Telemax Capital Increase No. FER 600195 March 23, 2018 Subject : Notification of the capital increase and investment plan of its subsidiary Attention : President, The
Thai Capital Market Monthly Report การใช้คุกกี้ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์ และอาจใช้คุกกี้ชนิดจดจำข้อมูลซึ่ง
Thai Knowledge for Capital Market การใช้คุกกี้ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์ และอาจใช้คุกกี้ชนิดจดจำข้อมูลซึ่งคุณ