Clause 23(2) and having prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel

therefore cooperated with the Department of Economic Crime Litigation and consulted legal experts to acquire complete and sufficient facts for consideration of a legal action. _________________ *Clause 3

securities trade order instructions are the violation of Clause 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators

.     -------------------------------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