deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market

clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business

market personnel for the period of one year. ----------------*Their actions were in violation of Clauses 20(1) and 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555

Mr. Yinganan Wongsiridej Mr. Yinganan, while he was a fund manager of the Sala@Sathorn Property Fund (SSPF), knew inside information that there was an offer from one company to purchase the main

reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency

employer for one year and six days, the suspension imposed by the SEC shall remain five months and twenty four days, effective from February 12, 2015.*Clauses 20(1) and (2) of the Notification of Capital

) nights and will receive one (1) time of the special one-day trip on a luxury Cruise Ship: Yachting Experience the Pearl of Andaman. 4. The total value of consideration and conditions of payment The Company

found that he had been authorized to trade securities on behalf of the client. He had also used his client's account to trade securities for the benefit of himself with one day permission and credit line

particulars were amended: 1. Clause 5, paragraph one, subsection (2) was amended; 2. The diagram showing infrastructure funds’ risk levels and a summary of important risk factors attached to the Notification of

reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency