the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
investment units, there should be no restrictions on types of investors resulting in an insufficient distribution of the investment units. Related Regulations Notification of the Capital Market Supervisory
THE ROYAL BANK OF SCOTLAND N.V. DIRECT CAPITAL COMPANY LIMITED TONTAN CORPORATION INVESTMENT ADVISORY SECURITIES , COMPANY LIMITED TOKIO MARINE LIFE INSURANCE (THAILAND) PUBLIC COMPANY LIMITED TRINITY
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to retail funds and private funds to invest in financial instruments of the Greater
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