. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya
bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions
seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore sanctioned three investment consultants as follows: 1. Suspended {A} from her
: 1. Approved to propose to the Extraordinary General Meeting of Shareholders No .1 /2018 to consider and approve the reduction of the Company’s registered capital in the amount of THB 36,184,761.50
December 2017 Transaction amount Baht 30,153,785 Pricing policy At Book value (transaction amount) and near market value Payment term By cash with 60 days of credit term The reason In consider to support the
where any independent director of a securities company passes away or resigns or his/her approval is revoked by the Office, the securities company shall appoint a new independent director within 90 days