. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis) 17/01/2005 01/03/2005 2
Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board 85/2552 03/08/2009 01/09/2009 5. Notification of Capital
/ActandRoyalEnactment/Act/act-sea1999-no2.pdf (Translation) of qualifications or possession of prohibited characteristics under Section 21; (5) 4 termination by the Cabinet’s resolution upon recommendation of the SEC, as
Supasit in the amount of 521,432 baht; (2) Nine offenders, namely Chanon, Anchada, Montika, Patcharavalai, Pichet, Titanun, Poranee, Phantipa and Natpapat, are prohibited from trading securities
incurred by the SEC in the amounts of 2,097,003 baht, 2,952,653 baht, and 1,005,628 baht, respectively. Each is also prohibited from trading securities or derivatives for a period of 11 months and barred
business***. ____________________ Remark: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital
prohibited from trading securities on the Stock Exchange or over-the-counter trading centers or entering into derivatives contracts on the Derivatives Exchange for one year and six months, and banned from
provide services with loyalty, affecting the reliability of capital market business personnel in a significant manner, which is considered a prohibited characteristic of the capital market business
, the SEC will file a criminal complaint for further legal proceedings. Due to his misconduct, {A} is deemed to have prohibited characteristics of capital market personnel as specified in the