} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor

Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC, therefore, has imposed the suspension of securities investment consultant approval on {A} for 20 days, from

Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed

present), the suspension imposed by the SEC shall remain for two months and eighteen days, effective from April 25, 2013.

15 days, the suspension imposed by the SEC shall therefore remain four months and 15 days. Meanwhile, {B} is suspended from duty for three months.

Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from

suspension imposed by the SEC is deemed to have been served. _________________ Note:   Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel

his duty as the approved capital market investment consultant for 8 months. Taking into account that Atthapol had already been suspended by his employer for 15 days; the suspension imposed by the SEC

. Taking into account that {A} had already been suspended by his employer for a month 7 days, however, the suspension imposed by the SEC shall remain 4 months 23 days, effective from December 11, 2014.Note

suspension imposed by the SEC shall remain one month, effective from January 8, 2015. Besides, {A} has been approved as an investment planner and held a position equivalent to a department director while the