other securities as specified in the notification of the SEC Office” Clause 3. The provision of Clause 8 and Clause 9 of the Notifications of the Capital Market Supervisory Board No.Tor.Thor. 1/2551 Re

Notification: (1) the terms “foreign securities” and “allocated quota” shall have the same meanings as such definitions as specified in the Notification of the Capital Market Supervisory Board concerning rules

*The persons in (1) and (3) were in contravention of Clause 31(1), Clause 33(3) and Clause 35(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on

Securities and Exchange Commission Notification of Capital Market Supervisory Board Notification of the Office of the Securities and Exchange Commission Circular Guideline Data not found ติดต่อ ก.ล.ต. สำนักงาน

Paragraph 1 of Section 100 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 11 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 60/2561 Re: Rules, Conditions and

to seek benefits for themselves, which was deemed failure to perform duties or provide services with loyalty pursuant to the Notification of the Capital Market Supervisory Board.*The SEC has revoked

market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex

Clause 20(5) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Intermediaries to Perform Duties of Analyzing Investment and Giving

Notification of the Capital Market Supervisory Board*. Accordingly, the SEC has revoked his approval as an investment consultant for Complex Products Type 2** and has imposed a ban on accepting any future

failure to perform her duties or provide services with honesty and good faith, which is deemed a prohibited characteristic for capital market business personnel under the Notification of the Capital