Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
: (1) In the case of Miss Surasa Mungthaworn, the SEC revoked the approval as investment consultant and will not accept her future application for approval as personnel in the capital market business
}: considering the level of her wrongful conduct, her status as an approved securities investment consultant should be revoked. However, since the said status had already expired on 31 December 2019. SEC
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients
operator shall be terminated upon any of the following causes: (1) in case the approval of the SEC Office has specified therein an effective period, such approval shall be terminated after the lapse of such
approval shall be terminated after the lapse of such period; (2) in case such person has been vacated from the approved position due to any cause other than being revoked the approval by the SEC Office such
approval for acting as a mutual fund manager or a private fund manager revoked; (12) Having been dismissed, discharged or terminated from employment as a result of any dishonest act; (13) Being or having
manager revoked; (12) Having been dismissed, discharged or terminated from employment as a result of any dishonest act; (13) Being or having been an executive involved in causing damage or held jointly