coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

perform duties with responsibility and prudence as a professional under the relevant Notification of the Capital Market Supervisory Board.*  The SEC has therefore imposed the following sentences

effect as from September 10, 2014. Note:   Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of

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

shall remain for 7 months and fifteen days, effective from October 9, 2014.Note:   Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited

:  *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the

misconduct occurred. The SEC also suspended the approval of investment planner and the performance of duty as the capital market personnel. *Clause 20(3) of the Notification of Capital Market Supervisory Board

เรื่อง การดํารงเงินกองทุนสภาพคลองสุทธิ ประกาศคณะกรรมการ ก.ล.ต. ที่ กธ. 66/2547 เรื่อง การดํารงฐานะทางการเงินของผูไดรับใบอนุญาตเปนตัวแทนซื้อขายสัญญาซื้อขายลวงหนา 2. การกําหนดระดับ early warning เกณฑป

any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange

for reference. The SEC Thailand cannot undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of