Commission No. SorNor. 31/2554 Re: Rules, Conditions and Procedures for Appointment and Performance of Duty of Infrastructure Fund Manager By virtue of the provision in Clause 5, Clause 7 and Clause 82(1) and
underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of
of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC disclosed inappropriate behavior from May 7, 2014 and suspended {A
Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication
, 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
: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012 as well as has prohibited characteristics under Clause 6(3) of the
as capital market personnel for the period of one year; Suspension of {H} from performing duty as securities investment consultant for seven months.{A} and {B} served as the executives of Country Group
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities