Type of securities : Common share | Effective Date : 18/01/2024 | Close Selling Date : 24/01/2024
ประเภทหลักทรัพย์ : หุ้นสามัญ | วันที่มีผลใช้บังคับ : 18/01/2567 | วันที่ปิดการขาย : 24/01/2567
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned
separate the positions of the Chairman and the Manager. Accordingly, the Stock Exchange of Thailand will also adopt this principle for existing listed companies. It is expected that the requirement
considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee
& Research analyst ✓ ✓ Broker – Dealer representative (such as sales person) ✓ Fund manager ✓ Explanatory text o Generally, type of Professionals carrying out the investment advice activity under this
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
(United States) AuditorAccountsT Business Operators Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust A Trustee of An Infrastructure Trust Digital Asset Business Operators
] Legal Group • responsible for providing legal advice on rulemaking and keeping up to date with legal developments. Enforcement Group • responsible for monitoring and investigating unfair securities
-committees to perform specific assignments, and sub-committees to consider and give advice on the issuance of rules and regulations. The Board also has the power to appoint steering groups in support of the