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

Solartron Public Company Limited Solartron Public Company Limited (“SOLAR”) prepared and submitted the inaccurate financial statement for the year 2015 to the SET and the SEC Office on February 26

Solartron Public Company Limited Solartron Public Company Limited (“SOLAR”) prepared and submitted the inaccurate reviewed financial statements for Q1/2016 to the SET and the SEC Office on May 13

Solartron Public Company Limited Solartron Public Company Limited (“SOLAR”) prepared and submitted the inaccurate annual registration statement for the year 2015 (Form 56-1) to the SET and the SEC

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