therefore revoked the approval as a capital market investment consultant and banned him from re-applying for an approval as capial market personnel for 10 years, starting from 21 October 2017.Apple Wealth
therefore revoked the approval as a capital market investment consultant and banned him from re-applying for an approval as capial market personnel for 10 years, starting from 21 October 2017. Apple Wealth
Determining Proportion of Directors of Derivatives Exchange and Prohibited Characteristics of Directors of Derivatives Exchange and Derivatives Clearing House
. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for
prohibited from trading securities on the Stock Exchange or over-the-counter trading centers or entering into derivatives contracts on the Derivatives Exchange for one year and six months, and banned from
Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies.
Board*. The SEC has therefore ordered a 10-year revocation of approval as a securities investment consultant. However, since the approval period has already ended, he is banned from re-entering as capital
therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6
, Kodchaphon, Chukiat and Prabpol were fined at 56,261,554.95 baht each, while Prasian, Somchai, Sirikorn, and Somchit were subject to a separate fine of 37,507,703.30 baht each. In addition, Chalaem is banned
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned