have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
business legally under the law of home country;? -?supervised by an IOSCO member regulator; -?not having a business premise in Thailand, except through shareholding in an SEC approved local CRA; and
transactions: 1. AEONTS provides the support on the business operation including marketing research and support as well as system support to ACS Capital and receives support fee for the amount of totally not
Extraordinary General Meeting of Shareholders No. 1/2017, held on 31 August, 2017 as follows: 1. To consider and approve the disposition of assets. With a vote of not less than three-fourths of the shareholders
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company
-leasehold right to be sold to the Trust will be at least THB 1,300.0 million and not exceeding to THB 1,503.80 million. (the “Disposition of Assets Transaction”) Approved the Company to enter into an
(1); (2) the provision of services is not in compliance with the details specified in Clause 4(2)(3) or (4), as the case may be; (3) the approved person fails to comply with the provisions in Clause 5
services is not in compliance with the details specified in Clause 4(2)(3) or (4), as the case may be; 4 (3) the approved person fails to comply with the provisions in Clause 5; (4) the innovation used in