securities trading. Because of his misconduct, Kajonchai will be subject to the SEC?s consideration regarding prohibited characteristics of capital market personnel. Meanwhile, the SEC is proceeding with the
responsible and careful duty performance. He consequently possessed prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor Lor
of their acts, the aforesaid four persons are deemed to possess prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor
firm to be prohibited from business expansion. In addition, in case where an increase of investment by any person or a group of persons causes the one-third limit to be exceeded, the asset management
undertaking derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel . Clause 4 In case an intermediary has
derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel. Clause 4 In case an intermediary has appointed the
/01/2005 01/03/2005 2. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis
, Kannida, Pakkawan and Kanchanarath, are prohibited from trading securities or derivatives for a period of 30 months each and are barred from serving as director or executive in any securities issuing