to conduct an inquiry into certain criminal offenses that may seriously undermine trust and confidence in the capital market or national economic system and aligning penalty measures with Section 77 of

Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and

other related channels, filing complaints with the inquiry officers, and informing the SEC for further publicity.The SEC would like to urge the public to exercise caution when being solicited to make

evidence gathered by the inquiry official from the SEC?s proceeding of the criminal complaint against NMG Chairman Nittimon Hastindra Na Ayudhya, who presided over the shareholders? meeting in December 2015

who wish to see current status of the matter, please go to compliant filed with inquiry officer

application within the period specified as follows shall be exempt from having the qualifications under Clause 5: (1) Being a person who has passed the examination on knowledge of investment advisor from

appointment for examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally

, [ii] attend training courses or pass the examination of courses provided by the SEC Office or the organizations recognized by the SEC Office and [iii] have scope of duties, as specified in the Tables of

with integration of management structure and measures for prevention, examination, monitoring of and response to human rights violations, so as to maintain customer data security and privacy. 2

Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and work experience and [ii] attend training courses or pass the examination of courses provided by the SEC