relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
Capital Market Supervisory Board No. To r Lor Thor. 11/2559 Re: Rules on Personnel in the Capital Market Business (No.4) dated 27 April 2016 (effective on 16 Mary 2016). 4 “investment consultant”9 means a
.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final judgement of the court for an offence under
could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called. “investment consultant” means a person providing investment
Capital Market Supervisory Board No. To r Lor Thor. 11/2559 Re: Rules on Personnel in the Capital Market Business (No.4) dated 27 April 2016 (effective on 16 Mary 2016). 4 “investment consultant”9 means a
position or the demand of any specific person, and without solicitation of investment in any of the prescribed capital market products. Or 2. ASEAN investment consultant who is a person providing general
person under consideration; (2) punishment already served by the person; (3) impacts or damage to the company or the overall shareholders or benefits related to the facts or demeanors under consideration
or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under
three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph
obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph “investor contact