penalized {B} by transferring her to perform duties unrelated to provision of services for sales of securities products from 25 December 2018 to 16 April 2020, which exceeded the penalty period imposed by

Capital Market Supervisory Board.* The SEC has therefore imposed administrative sanctions with details as follows:   (a)  suspending the approval of {A} as securities investment consultant for two months

775,153.67 baht. If any of the offenders refuses to comply with the civil sanction imposed by the Civil Sanction Committee, the SEC shall submit a letter requesting the public attorney to file the case with

governance best practice, good operating results or compliance with other rules and regulations imposed on listed companies. Therefore, this praise should not be a reference in the assessments of other

terms imposed by the Civil Penalty Committee. When the alleged offender has paid for the fine penalty in full according to such agreement, the right to institute the civil proceeding and criminal

SEC has imposed a 40-day-suspension on {A} as a securities investment consultant, and a two-month suspension on {B} as a securities investment consultant and investment planner. In addition, {B} was

place importance in the handling of its data management system or securities business related evidence. The Criminal Fining Committee therefore imposed a fine penalty on the bank for such defects on 26

market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from

from her duty as the approved capital market investment consultant for 3 months. Having considered that she had already been suspended by of Krungsri Securities for 1 month, the suspension imposed by the

month, the suspension imposed by the SEC shall remain 2 months, effective from July 9, 2015. * Making trading decision on the client's behalf and failure to perform duty in compliance with the company's