. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the
Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6
of such action. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure
take further action in accordance with the law. The criminal complaint inures that the accused is considered to be untrustworthy characteristics of the securities issuing companies and listed
SEC, therefore, filed a criminal complaint against the offenders to the Department of Special Investigation (DSI), in order to take appropriate legal action. This criminal offense may result in
businesses. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN https://publish.sec.or.th/nrs/7535pe.doc Readers should be
. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN https://publish.sec.or.th/nrs/7535pe.doc Readers should be aware
accordance with the SEC Notification* and therefore is banned from holding such positions under the Securities and Exchange Act.In the meantime, the SEC is investigating other persons related to the GL case
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