business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Phisit as an investment consultant for complex products Type

unlawful personal gains in violation of the Notification of the Capital Market Supervisory Board concerning Rules on Capital Market Personnel*. The SEC has therefore revoked the approval as equity investment

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

intention to use other assets for his own benefits. His actions deemed a breach of Clause 14 (1) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated

financial statements of Renaissance FMC, which constitutes a prohibited characteristic for an auditor in the capital market*.   Accordingly, the SEC resolved to revoke Ms. Sulalit’s approval as a capital

Notification of the Capital Market Supervisory Board*. Accordingly, the SEC has revoked his approval as an investment consultant for Complex Products Type 2** and has imposed a ban on accepting any future

and rules issued under such laws, including the performance standards as specified in the notification of the Office or by the association with the approval of the Office; and (4) Refrain from violating

the laws on securities and exchange and rules issued under such laws, including the performance standards as specified in the notification of the Office or by the association with the approval of the

by the SEC under the Ministerial 15 Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551until until the notification of the Capital Market Supervisory Board issued

), (2) and (8). Clause 6. Those licensed to operate business specified in this Notification shall pay such fees within the time as specified by the Office with the approval of the Securities and Exchange