Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc

3) Orapin Raiwiboon. In connection with the case, the application for approval as investment consultant submitted by {A} has been rejected.  According to a report from Thailand Securities Institute

capital market auditor for a period of two years, starting from 8 October 2019. The SEC has also advised KPMG to conduct a root cause analysis on Patamavan’s performance deficiencies and lay out a

March 2019. Therefore, SEC will not accept her future application for approval as personnel in the capital market for 15 months in the same manner as for the case of her approval as investment

Public Company Limited and Asia Wealth Securities Co., Ltd. respectively, when the misconducts were committed.In the case of Veerachai, Nomura was informed by the clients that they had transferred money

securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated his fraud commission, embezzlement, falsying documents with the

investor contact for one month, starting from August 10, 2011 and reprimands {B} and {C} on their actions and records their misconducts for reference in case they do not comply with the standards of conduct

Indonesia. The legal action in the case of EARTH has already been notified to the Anti-money Laundering Organization (AMLO).  The criminal complaint has been filed against EARTH and its three directors

interactive sessions, including workshops and case studies, that engaged approximately 200 industry participants, including executives, analysts, and consultants from across Thailand’s capital markets. These

future application for approval as personnel in capital market business shall not be accepted for five years. In any case, since Krungthai Zmico has already suspended her from the role of investment