and deliberation as a professional. His misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended his approval as securities investment

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 securities investment consultant

Bangkok, March 3, 2011- SEC Secretary-General Thirachai Phuvanatnaranubala emphasized that sustainable capital market development requires strong investor base. Nonetheless, most of the Thais are not

seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause

fund (ETF) listed on foreign market affecting net asset value (NAV) of domestic gold funds. AIMC guideline, although allows asset management company and trustee to jointly exercise their discretion to

2014, the 24 individuals were engaged in the manipulation of MILL shares, which caused the trading activities of the shares to be inconsistent with normal market conditions. In summary, (1) Mr. Sittichai

the Kingdom of Thailand, so permits by virtue of law, the Securities and Exchange Commission acting as the Capital Market Supervisory Board under Section 60 of the Securities and Exchange Act (No. 4

of Thailand, so permits by virtue of law, the Securities and Exchange Commission acting as the Capital Market Supervisory Board under Section 60 of the Securities and Exchange Act (No. 4) B.E. 2551

Capital Market Supervisory Board No. TorThor. 70/2552 Re: Rules, Conditions and Procedures for Securities Underwriting (Codified) _____________ By virtue of Section 16/6 and Section 113 of the Securities

reference. PAGE 2 Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of