SEC has imposed a 40-day-suspension on {A} as a securities investment consultant, and a two-month suspension on {B} as a securities investment consultant and investment planner. In addition, {B} was

(CISA) or Chartered Financial Analyst (CFA) examination, or Certified Financial Planner (CFP) program. Local or foreign organization for a total period of at least 1 year during the past 3 years prior to

Re: Reporting Changes to the Securities and Derivatives Holdings of Directors, Executives, Auditors, Planner and Plan Administrator, dated 5 March 2024:   https://publish.sec.or.th/nrs/10125s.pdf

the assessment report prepared by EY Corporate Advisory Services Limited (EY), who was the rehabilitation planner of EARTH at the time. EARTH acquired the legal rights over the coal mines by trading the

administrator and planner. This move could be considered an attempt to delay IFEC business operations to continue being under the management team led by Mr. Suphanan, instead of setting up a shareholders

Agency - Debenture Holders’ Representative - Approved Personnel in Capital Market (e.g. Investment Analyst, Investment Consultant, Investment Planner, Fund Manager, and Executive). Administrative Sanction

Financial Analyst (CFA)  Certified Investment and Securities Analyst Program (CISA)  Certified Financial Planner (CFP)  Financial Risk Manager (FRM)  อ่ืน ๆ

งานที่เกี่ยวของ 1 ทดสอบผานกฎระเบียบและมาตรฐาน การปฏิบตัิงานที่เกี่ยวของ 1.CISA I ขึ้นไป / CFA I ขึ้นไป / CFP (Certified Financial Planner) / FRM (Financial Risk Manager) (เดิม CISA I ขึ้นไป / CFA I

considering the appropriateness of investment, the objective of investment, the financial position or the demand of any specific person. “investment planner” means a person providing investment consultation to

specific person. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such consultation by incorporating in