financial statements of Renaissance FMC, which constitutes a prohibited characteristic for an auditor in the capital market*. Accordingly, the SEC resolved to revoke Ms. Sulalit’s approval as a capital
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated 18 January 2012, which is deemed a prohibited characteristic of capital market business personnel under Clause 6(1) of
LOGISTICS PUBLIC COMPANY LIMITED LH FINANCIAL GROUP PUBLIC COMPANY LIMITED LIGHTING & EQUIPMENT PUBLIC COMPANY LIMITED LOHAKIT METAL PUBLIC COMPANY LIMITED LOXLEY PUBLIC COMPANY LIMITED LUCKYTEX (THAILAND
the requesting and using of investor’s account for personal trading, even with the investor’s consent. Such conduct is deemed a prohibited characteristic for capital market business personnel under the
failure to perform her duties or provide services with honesty and good faith, which is deemed a prohibited characteristic for capital market business personnel under the Notification of the Capital
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis. Clause 2. This Notification
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board