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
in the last 4 quarters (1st quarter of 2019 to 4th quarter of year 2019) ending on 31 December 2019. The company has a duty to disclose the information of the aforementioned transaction. In summary as
) (“Notification on the Connected Transaction”) Consequently, the Company have no duty to perform under the Notification on the Connected Transaction upon entering into such transaction. 3. Nature, Type of
relationship under V. or VI. 6 4 11. For reporting in the event of an acquisition through the chain principle7, please identify the percentage of direct and indirect shareholdings and voting rights at each
the chain principle7, please identify the percentage of direct and indirect shareholdings and voting rights at each shareholding level throughout the chain of acquisition and/or specify the number of