orders where the purchase were initially paid by her family's money and later by her own money.Using client's account to trade securities for her own benefits was in violation to the Notifications of
behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved
behalf of client and seeking benefits from the client during the performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
conducted a public hearing on this matter in January 2026.The SEC has therefore issued the relevant regulations* and published them in the Royal Gazette. The SEC notifications take effect on 4 March 2026
notifications can be summarized as follows. 1. Directors and senior management are required to dedicate their time and ability to the full performance of their duties. For instance, each director shall take part
” means any mutual fund established under following Notifications: (1) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property
private fund; “Special mutual fund” means any mutual fund established under following Notifications: (1) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on
“controlling person” shall be in accordance to the Notification of the Securities and Exchange Commission concerning Determination of Definitions in Notifications relating to Issuance and Offer for Sale of
established under following Notifications: (1) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property Fund to Solve the Problem in
transactions and the transaction size is not deemed as an acquisition and disposal of assets pursuant to the notifications of the Capital Market Supervisory Board and the Stock Exchange of Thailand. Please be