of 500,000 Baht each. In this regard, the SEC will also pursue administrative action in relation to capital market personnel against Chaninan in this matter.Information contained in this news release
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
decision 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 Personnel of Business Operators to Perform Duties of
operator qualifications in terms of sufficient personnel and operating system, financial condition, and fit and proper.
are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment
securities trading. Because of his misconduct, Kajonchai will be subject to the SEC?s consideration regarding prohibited characteristics of capital market personnel. Meanwhile, the SEC is proceeding with the
. The SEC therefore filed the criminal complaint against both persons with the DSI for further legal proceeding. Consequently, they are automatically barred from serving as capital market personnel or as