misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
accounts for themselves. ______________________ * Clause 23(1) and deemed to be the prohibited characteristic of the personnel in the capital market business under Clause 31(1) of the Notification of the
prohibited characteristic of capital market personnel pursuant to Clause 31(1) of the said Notification.
. _____________________________Remark: * Clause 23(2) and deemed to be the prohibited characteristic of the personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor
characteristic of the personnel in the capital market business under Clause 31(2) of the Notification No. TorLorThor. 8/2557 which has been promulgated in replacement of the said four notifications.Clause 3(15) of
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
the SEC web site.____________________Remarks:* Clause 23(1) refers to the prohibited characteristic of the personnel in the capital market business under Clause 31(1) of the Notification of the
TikTok account "okj.stock_market" impersonates "Pluk Phak Praw Rak Mae Plc." : Unlicensed securities and derivatives business (Disclosure Date : 06/11/2024)
. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31