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Bangkok, April 22, 2013 - The SEC barred {A}, a former employee of Siam City Securities Co., Ltd., from holding any securities company management positions as well as revoked her investment
adequate personnel with expertise to effectively supervise and administrate the risks of outsourced operation, as well as in case of outsourcing operation in investment management and investment risk
characteristics of personnel in capital market and executives of securities companies under the relevant Notifications.**For breach of duty, the SEC barred {A} from holding any securities company management
investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
Capital Market Supervisory Board.* SEC has therefore revoked the approval and will not accept her future application for approval as personnel in the capital market business for a period of 10 years
the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
(2) of the Notification of the Capital Market Supervisory Board No. TorNor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Fund dated 10 January 2011