, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana

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

liable to collusion to commit a fraud and failure to perform duties with responsibility, discretion and integrity. NMG subsequently suffered damage from their violation or failure to perform duties

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

) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated

Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the

into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the

into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the

Class 1 - Acquisition and Disposition of Asset Transaction with values less than 15%. Therefore, the Company are not required to perform any disclosure under the obligation of such Notification. Page 2

Inquiry Official Dated 08/06/2021 Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a