Bangkok, October 8, 2014 - The SEC imposed a three-month suspension on {A}, a securities investment consultant of Siam Commercial Bank PLC., for signing the buy/sell order form of investment units
for investment consultants.As a result, she was disqualified from being investment consultant under Clause 18(1) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
this English translation is strictly for reference. Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers
reference. Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers __________________ By virtue of Section 9 and
this Notification or has improper conducts, the SEC Office may order such person to rectify, act or omit from any act for compliance with this Notification. Clause 10 All notifications of the Office of
order such person to rectify, act or omit from any act for compliance with this Notification. 3 Amended by the Notification of the Capital Market Supervisory Board No. TorThor. 48/2559 Re: Custody of
such customer. In order to follow according to the requirement in paragraph one, Derivatives broker shall follow according to the standard set out in the SEC Notification. Clause 14. Derivatives broker
repayment capability of such customer. 10 In order to follow according to the requirement in paragraph one, Derivatives broker shall follow according to the standard set out in the SEC Notification. Clause 14
repayment capability of such customer. 10In order to follow according to the requirement in paragraph one, Derivatives broker shall follow according to the standard set out in the SEC Notification. Clause 14