ACL Securities Co., Ltd.were considered a contravention of the SEC Office Notification concerning financial advisor approval and scope of business which specifies that financial advisor supervisor must

persons are required to submit written explanation to the SEC within 7 business days while the appropriateness of Vijit Supinit involvement will later be considered.

voting right at the extraordinary shareholders? meeting No. 1/2559 on 14 October 2016.The subscription size accounts for 70.73 percent of the net tangible asset value of JMT and is considered a related

trading orders and trading consultations. Thus, the actions of {B} and {C} were considered as trading securities on behalf of the client in violation of Clause 20(2) of the Notification No. TorLorThor. 3

cost and revenue. The information material to investment decision such as key risks and progress of projects was therefore deficient.Their actions were considered as failure to comply with the SEC Office

market*, the SEC therefore set the period for acceptance of his re-application for approval as capital market personnel for 15 days. Having considered that {A} had already been suspended by his employer

capital market investment consultant for 11 months. Having considered that he had already been suspended by Tisco Securities Securities for three months, the suspension imposed by the SEC shall remain 8

Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended him from duty as the approved securities investment consultant for 4 months. Having considered that

in the capital market*, the SEC, therefore suspended the approval as capital market investment consultant of {A} for 9 months. Having considered that she had already been suspended by her employer for

months. Having considered that he had already been suspended by Maybank Kim Eng Securities Plc., for 1 month and 4 days, the period of acceptance of his re-application shall remain 2 years 9 months and 26