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

and expectation without having supporting information or documents to back up his claim were in contravention of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended

investment units in the portion yet to satisfy the minimum of 5 year investment.The said action was a violation of conditions prescribed by the Revenue Department, causing the client to pay back tax deductions

staff, utility expenses, and depreciation of property, plant, and equipment in the back office. 43 33 Q1/20 Q1/21 19.5% 18.2% • Administrative expenses in Q1/2021 was THB 33 million, decreased by THB 10

Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and

firm’s strategic and business plan. If yes, please describe. 2 How does the firm conduct the estimation of personnel needs (e.g. developing succession plan)? 3 How does the firm deal with the staff

{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection

money back together with the capital gain, at the amount of 341,100 baht. The client believed Sakkarin's false claim to be true because an approximately similar amount of money had been transferred to the

2023,” organized for judges and SEC employees. The annual seminar is part of the SEC Strategic Plan regarding collaboration with personnel in the judicial administration to enhance their knowledge in