characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
operations, with a view to grouping the relevant regulations of the operation system and the provision of services to facilitate business operators.The public hearing is intended to propose the draft
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
in Cambodia with details as follows: 1. Date of Transaction : Within Quarter 3/2018 2. Characteristic of the Transaction Parties : 1. M Pictures Entertainment Public Company Limited. 2. MVP
financial statements of Renaissance FMC, which constitutes a prohibited characteristic for an auditor in the capital market*. Accordingly, the SEC resolved to revoke Ms. Sulalit’s approval as a capital
follows: (1) To categorize licenses by business types instead of product types, grouping businesses with similar risk profiles together. This approach would give businesses more flexibility in applying
region.?? ------------------Notes: 1. The ASEAN Capital Markets Forum (ACMF) is a high-level grouping of ASEAN securities regulators established under the auspices of the ASEAN Finance Ministers in 2004.2
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of