unprofessional performance of duties in contravention of the Notification of the Capital Market Supervisory Board. The SEC has therefore imposed a 12-month suspension as a capital market investment consultant

number of clients? securities trading orders.  Such actions were in violation of Clauses 23(1) and 23(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on

of the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business*. The SEC has therefore imposed a six-month suspension on {A}, effective from 12

Notification* after the public prosecutor had charged them in court on account of failure to perform duties by law at the NMG 2015 annual general shareholders? meeting.  The NMG directors and executives are: (1

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

securities trade order instructions are the violation of Clause 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators

.     -------------------------------1 Clause 23(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014 and Clause 31(1) of the same

file a criminal complaint for further legal proceedings.     -------------------------------1 Clause 23(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules

had not been sufficient.   This caused the client about 3,000,000 Baht in damage.  In this regard, the aforesaid actions are in violation of Clause 20(1) and (2) of the Notification of Capital Market

violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital