The criminal complaint was imposed on two former GGC director and executive, namely (1) Mr.Jirawat Nooritanon, Managing Director at the time of the offense (during 2014 – 2018), and (2) Mr.Wanlop
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
& Executive Member of fund investment committee Fund manager Investment Planner Investment Consultant /1 Other Professionals Auditor /2 Financial advisor Supervisor of financial advisor Valuation Company
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
regulated person who is disqualified or fails to comply with professional conducts and standards. Such regulated person are as follows: - Financial Advisor and its supervisor - Auditor - Valuation Company and
of Securities and Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2 . In this Notification: “Fund supervisor” means the mutual
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
to comply with professional conducts and standards. Such regulates persons are as follows: - Financial Advisor and its supervisor - Auditor - Valuation Company and Principal Valuers - Credit Rating