Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months

orders via mobile phone.Failure to keep a complete record of derivatives trading orders was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market

Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended {A} from his duty as the approved securities investment consultant for a month and 10 days

submitted such document on 30 January 2023, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. SEC Act S.56(2

, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by managing an advertisement about commission-free trading services without end period that cause investors or

Board. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 6/2024 Settlement Committee Order No. 67/2024 Dated 27/08/2024

another person to be outsource in analysis and investment decision, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.133 paragraph 2

process of preparing and updating private fund contracts is not prudent and concise, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S

specified by the Notification of the Capital Market Supervisory Board. However, the financial statement for Q3 year 2023 was later submitted on 9 January 2024. SEC Act S.56(1) Settlement Committee Meeting

outside its office for the products listed on the Stock Exchange of Thailand, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.98 (6