banned Ravi from holding the position of director or executive at any issuing or listed companies for one year.* ________________________________ *In compliance with the Notification of the Securities
intention to use other assets for his own benefits. His actions deemed a breach of Clause 14 (1) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated
, fraud or embezzlement and wrongful use of the clients? assets in violation of Clause 14(1) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14
ACL Securities Co., Ltd.were considered a contravention of the SEC Office Notification concerning financial advisor approval and scope of business which specifies that financial advisor supervisor must
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
characteristics under the SEC Office Notification concerning financial advisor approval and scope of performance B.E. 2552. The SEC, therefore, revoked the financial advisor supervisor approval granting to {A}.In
and derivative business operators throughout such same period. * Clause 4 and Clause 31(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in
) of the SEC Notification No. Kor Jor. 8/2553 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives Dated 23 April 2010. Information contained in this news release is
authorization from client to make securities trading decisions on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for
offering of newly issued securities during 2011. His actions were deemed as failure to comply with the auditing standards and the Notification of the Office of the Securities and Exchange Commission No