. This amendment approved by the Capital Market Supervisory Board Meeting No. 2/2565 on 15 February 2022 aims to resolve the limitations related to the underwriter’s securities allocation to be in line
were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Acting Subbieutant Saroj from his duty as the
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant
Bangkok, September 24, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revision of rules applicable to securities companies facing
performance of duties, interfering with investors? assets in concealment and creating false evidience in violation of or non-compliance with the notifications of the Capital Market Supervisory Board concerning
specified in the Notification of the Capital Market Supervisory Board*. The SEC has therefore ordered the 18-month suspension on {A}'s capital market investment consultant approval, effective from 21 October
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for
failure to perform duties with responsibility and due care as the capital market professional were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital
made by clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Napat from his duty as the approved