strongly advised to thoroughly check and make sure that all receipts or evidence of payment are issued by the companies in charge. In case of making an agreement to buy an investment product outside the

Information on the laws and regulations relevant to performing duty as Recognised Representative in ACMF member countries Professional Mobility ACMF Pass framework Products : shares, bonds, units of

-application for approval as capital market personnel for 4 years. Taking into account that {A} had already been suspended from her duty as securities investment consultant by her employer for 3 months; the

investment and asked her to take care of the trading account.Monta failed to perform her duty in compliance with the company?s rules as she, by the clients? decision, submitted a number of securities and

investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the

duty as the approved capital market investment consultant for 9 months. Owing to the fact that the approval period remains until December 31, 2015, the approval shall be suspended until the lapse of such

duty as the approved securities investment consultant for 2 years and 6 months. Owing that {A}'s approved securities investment consultant status only lasts until December 31, 2016, her approved status

, the suspension imposed by the SEC is deemed to have been served. For {B}, the SEC suspended her from duty as the approved equity investment consultant for one month, effective from March 16, 2015

Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the

Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment