Bangkok, October 16, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved to revise the regulations on services concerning investment in
failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory
revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved capital market investment consultant for six months. Taking into account that he had
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re
behalf of clients were in 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
behalf of client and seeking benefits from the client during the performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
specified in the notification of Capital Market Supervisory Board. This case is in the process of inquiry by the inquiry official. SEC Act S.56(2)(3)(4) Criminal Complaint Filed with an Inquiry Official
specified in the notification of Capital Market Supervisory Board. This case is in the process of inquiry by the inquiry official. SEC Act S.56(1)(4) Criminal Complaint Filed with an Inquiry Official Dated
Supervisory Board, due to her failure to order or act in accordance with duties required to be performed. This case is in the process of inquiry by the inquiry official. SEC Act S.300 in conjunction with 56