. -------------------------------1 Clause 23(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014 and Clause 31(1) of the same
file a criminal complaint for further legal proceedings. -------------------------------1 Clause 23(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules
had not been sufficient. This caused the client about 3,000,000 Baht in damage. In this regard, the aforesaid actions are in violation of Clause 20(1) and (2) of the Notification of Capital Market
violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital
characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2010 re: Prohibitions for Personnel of Business
: *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the
misconduct occurred. The SEC also suspended the approval of investment planner and the performance of duty as the capital market personnel. *Clause 20(3) of the Notification of Capital Market Supervisory Board
Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market
, subject to the prohibited characteristic of the auditor in the capital market under Clause 16(1) of the Notification of the Office of the Securities and Exchange Commission No. SorChor. 39/2553 Re
aforesaid provision, the SEC Office, by virtue of Clause 4(1) in conjunction with Clause 18(2) of the Notification of the Capital Market Supervisory Board No. Tor Thor. 60/2561 Re: Rules, Conditions and