securities companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted
companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted by the
company has determined or has agreed in advance to allow any legal entity or individual to be the shareholder, either directly or indirectly, in the amount exceeding ten percent of the total number of
period and his re-application for approval as the capital market personnel will be accepted after 9 months as from June 23, 2015. For Kacha, The SEC suspended him from the approved securities investment
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
client accepted the proposed transactions. At the end of trading day, {A} notified the amount of money to be received or paid whereas the client did not reject or decline the transactions. In case of {B
Planning (CFP module 1 and module 2, curriculum approved by the SEC Office, or any others under remark 1)2 1 Qualified to apply for, or having obtained, an approval to be a capital market investment analyst
following resolutions: 1. Approved the Board of Directors of the Company Meeting No.2/2018 on May 11, 2018. 2. Acknowledged the operation results of the Company for the 2nd quarter ended June 30,2018. 3
approval as the capital market personnel will be accepted after 11 months as from July 9, 2015.2. Suspended Onjira Yuwadee from her duty as the approved securities investment consultant for 1 month
conversation indicated that {A} and {B} specified securities, amount and price for their clients and the clients accepted their trading decisions without objection or asking for any information of those