.   ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager,  is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31

. -------------------------------- Note: * {A} violated Clause 23(2), and {B} Clause 23(1), both being the prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory

, while he escaped from the case.  Owing to such severe offences, the SEC deemed Chalerm unfit to be in the securities business personnel and, therefore, revoked the approval status of the investor contact

have prohibited characteristics of capital market personnel pursuant to relevant regulations as long as he is subject to the complaint and the subsequent procedure, which caused his approved status to

offenders had refused to enter the settlement process. In addition, Nongluck and Adirek, as approved investor contact, are deemed to have prohibited characteristics of capital market personnel pursuant to

company's management and monitoring on personnel systems did not comply with professional standards. In this regard, the SEC warned KPMG Phoomchai Business Advisory Ltd. to emphasize on compliance with

23(2) and (3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 dated June 3, 2014 (Notification No. TorLorThor. 8/2557) which was prohibited characteristics of personnel

that those personnel must be equipped with knowledge, capability and approved by the SEC. The business operators must apply necessary assessment procedures to ensure that their investment consultants

violation of Clause 6(1) of the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Personnel dated September 14, 2010. Two-year

involved in personnel management and investment in the company very well as individual or / or institutional investors. according to the announcement of the related transaction, in the event that investors