and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market

future application for approval as personnel in capital market business shall not be accepted for five years. In any case, since Krungthai Zmico has already suspended her from the role of investment

Supervisory Board.* Therefore, SEC will not accept his future application for approval as personnel in the capital market business for a period of five years, effective from 25 February 2020.  Investors are

order was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved securities

imposed by {A}'s former employer, the SEC will not consider his application for approval as capital market personnel for one year eleven months and fourteen days, starting from December 20, 2013 

and his client showed that he had used the client's account to trade securities for himself.{A}'s actions were deemed the violation of Clauses 20(1) and (3) of the Notification of Capital Market

orders via mobile phone.Failure to keep a complete record of derivatives trading orders was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market

including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic

sufficient personnel to be able to operate the investment advisory service business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives

structure, operating systems, and personnel for conducting business in accordance with the rules, procedures, and conditions prescribed by the Securities and Exchange Commission. DAB Act S.30 Settlement