Presented Certificate Ombudsmen Logo Related Circular Letter Appointment/Approval/Code of conducts and Standard Practices Reporting Fees Related Circular Letter Notifications related to Accountants and
Decree on Special Purpose Juristic Persons for Securitization The Trust for Transactions in Capital Market Act Ministerial Regulations / Notifications Ministerial Regulations - SEC Act Ministerial
derivatives on behalf of client was failure to perform duties with responsibility and due care as the capital market professional under the Notifications of Capital Market Supervisory Board concerning personnel
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
thereof and the related notifications. Clause 46 In considering the application for approval as personnel in the capital market business for [i] holding the position of a director or a general manager which
were effective as from October 5, 2013. {A} and {B} were banned from holding any securities company management position while approval for investment consultant of {C}, {D}, {E}, {F}, and {G} were