Supervisory Board concerning personnel in the capital market*, the SEC therefore disclosed inappropriate behavior of {A} for failure to completely record client's trading orders and suspended him from the duty

price; 2) exercise of due care by listed companies? board of directors in giving information and opinions; and 3) the SEC?s approval prior to the placement. At this juncture, the SEC has taken into

performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended

Supervisory Board approved the revision of regulations on business operators to require a report of change in operating system if the change significantly impacts the business undertaking. This is to enhance

Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The

securities trading was made from the client and seeking benefits from client during performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the

securities trading orders is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of

Mr. RAVI LOHTONG During the period of 8 - 30 October 2015, Mr. Ravi Lohthong, director and chief advisor to the executive board of Siam Sport Syndicate Public Company Limited ("SPORT") used

an SECC Holding’s director and executive with responsibility and due care by attending the Board of Directors’ meeting in which the fictitious loans worth Baht 245 million agenda was approved and

of the Capital Market Supervisory Board. The Criminal Court sentenced the accused to pay a total fine of Baht 418,500. Since the accused pleaded guilty, the Court reduced the fines by half, resulting