Bangkok, October 8, 2014 - The SEC imposed a three-month suspension on {A}, a securities investment consultant of Siam Commercial Bank PLC., for signing the buy/sell order form of investment units
already been suspended by his employer for one month; the suspension imposed by the SEC shall remain five months, effective from February 26, 2015.# # # #* Clause 20(2) of the Notification of Capital Market
his employer for 3 months, the suspension imposed by the SEC shall remain 11 months, effective from January 15, 2015.*Clauses 20(1) and 20(2) of the Notification of Capital Market Supervisory Board No
will not accept his re-application for approval as capital market personnel until the lapse of ten year period commencing from November 14, 2014. Earlier, the SEC had imposed criminal sanction on Nakul?s
violating multiple legal provisions. Pursuant to Section 90 of the Criminal Code, the penalty shall be imposed under the provision carrying the heaviest punishment, namely, the offense of operating a digital
committed an offense under the lawsuit of the plaintiff. The Civil Court also imposed civil sanctions as follows: (1) The 1st defendant shall pay the civil penalty in the amount of 2,000,000 Baht with
lawsuit of the plaintiff. The Civil Court also imposed civil sanctions as follows: (1) The 1st defendant shall pay the civil penalty in the amount of 2,000,000 Baht with liability of the 2nd defendant and
dates when the offenders sign the letters of consent, agreeing to comply with the civil sanctions imposed by the CSC. Otherwise, the SEC will submit the cases to the public prosecutor for filing a lawsuit
issuing companies or securities companies for a period of 40 months each.The civil sanctions in (2), as imposed by the CSC, will take effect when the offenders sign the letters of consent, agreeing to