without the company's assignment, under which {A} failed to record his investment advice given to two clients. In addition, {A}, knowing that {B} was neither the SEC-approved investment analyst nor

capital market product, or participating in or supporting such acts performed by other persons. Clause 24 In case personnel in the capital market business have breached or failed to comply with Clause 23

any record of violation of the laws or regulations of Home Jurisdiction in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such

any record of violation of the laws or regulations of Home Economy in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such

failed to submit such material information to investors or Home Regulator. Yes No If “No”, please specify __________________________________________________

while many surveyed markets failed to do so. In addition, the SEC?s strict review on financial statements of listed firms led to orders of special audit or rectification to ensure correct information for

construction and pay an advanced compensation of 2 million baht. However, it was found that VBB had failed to proceed according to the contract and used the money for the benefit of other persons instead. In

recognized by the SEC Office; Clause 24 In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the

In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of

have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of prohibited characteristics in Group 3 under Chapter