an offense liable to revocation of approval as securities investment consultant. However, the approval as securities investment consultant for {A} has already expired since 31 December 2019. SEC has
particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval
Capital Market Supervisory Board.* The SEC has therefore imposed administrative sanctions with details as follows: (a) suspending the approval of {A} as securities investment consultant for two months
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients
channel anytime. {A}'s actions were deemed non-compliance with investor contact's standards of conduct of Clause 14(7) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and
trading. The acts of {A} and {B} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
resolved to propose that the 2018 Annual Ordinary General Meeting of Shareholders to be held on April 20, 2018 consider granting approval for the Company to execute the Agreement for Engagement of CH
of interests) deemed it appropriate to propose to the shareholders’ meeting planned to be held within November 2017 for their consideration and approval of the selling one part of Company Investment