: (1) Mr. Apivut Thongkam , the appointment/ of which shall take an effect as of January 3, 2018 Determination/Change in the scope of duties and responsibilities of the audit committee with the following

of criteria for application for approval for issuing and offering of debt securities in line with non-listed companies and duties for preparing and submitting reports on financial condition and

act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the

performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as

damage at the amount of 20,000 baht.   SEC has considered that Sorrapon failed to perform duties with loyalty* by committing wrongful acts against the investor’s asset, which was deemed a prohibited

revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the

Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was

and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in

Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial

re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for three months and {B