. Throughout the process of consideration for imposing administrative orders on the licensee mentioned above, the SEC Board had fully taken into account the company’s petitions for justice submitted to the

, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.*  In

inaccurate and false preparation of such records.   The misconduct of the executives and their associates above is liable to legal offences as follows: The persons in (1) and (2) are liable to failure to

the manager.The misconduct of the three persons above was a failure to perform duties with responsibility and professional due care for the best interest of investors pursuant to the Notification of the

August 2023.*** In deliberating the imposition of administrative sanctions above, the SEC has taken into account the following factors, i.e. relevant roles and demeanors of the person under

replaced the first two notifications above. (b) Nitchawan violated Clause 23(1) and Clause 23(2) regarding prohibited characteristics of capital market personnel under Clause 31(1) of the Notification No

and paid a fine in the amount of 500,000 baht as determined by the Settlement Committee on March 16, 2012. His case shall thus be regarded as settled under Section 317 of SEA.  The above complaint also

investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client

transactions. As the above information is just basic information, the SEC urges shareholders to prudently study the entire information from the enclosures for shareholders? meeting in order to make careful

baht from such activities.  Subsequent to the case mentioned above whereas Numkrit, Chalalai, Duangduean and Rosathorn are named in the criminal complaint the SEC has filed with the DSI, these four