specified in the Notification of the Capital Market Supervisory Board*. The SEC has therefore ordered the 18-month suspension on {A}'s capital market investment consultant approval, effective from 21 October

client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing

provide securities trading service to the account owner or submit trading orders of the written authorized persons action were deemed failure to perform duties which were in violation of the Notification of

—within 180 days from the effective date of the notifications.Notes:* Four relevant notifications are:  1. The Notification of the Ministry of Finance Re: Prescription of Conditions for Securities Company

of Thailand within the period specified in the notification. The statute of limitations ran out. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 27/06/2017

, 2016 and February 29, 2016 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements was later submitted to

, 2016 and May 16, 2016 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements was later submitted to the

Office on March 22, 2016 and March 23, 2016 respectively. The annual registration statement did not comply with the notification of the Capital Market Supervisory Board. The rectified annual

to the Stock Exchange of Thailand and the SEC Office on May 16 and 17 2016, respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The

the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the Form 56-1 for the year 2016 were later filed with the SET and the SEC Office on September