from her duty as the approved capital market investment consultant for 3 months. Having considered that she had already been suspended by of Krungsri Securities for 1 month, the suspension imposed by the
from July 9, 2015. 4. Suspended {D} from her duty as the approved capital market investment consultant for 3 months. Having considered that she had already been suspended by of Krungsri Securities for 1
considered as syphoning TUCC money for the benefits of themselves and others, in violation of Sections 307, 308, 311, and 313 of the said Act. Consequently, Yongyuth, Vacharee, Suchit, Nitaya and Suttirat
advice with bias, not based on professional standards, and without supporting studies/researches or imparting rumors. For {E}, his action was considered using client account to trade securities for the
within 31 December 2018. The transaction mentioned above is considered as a disposal of assets in accordance with the Notification of the Capital Market Supervisory Board No. TorChor. 20/2551 (2008) Re
the Company and the Managing Director of the Company. The transactions are considered as the entering into a connected transactions relating to assets or services. The details are as follow: 1. The
profession and [iv] member punishment; (10) having mechanism and measure to punish member fairly, i.e. [i] having process and procedure clearly, [ii] making an opportunity for considered person to elucidate
as mentioned in 4. is considered the transaction with a connected person in accordance with Notification of the Capital Market Supervisory Board No. ThorChor. 21/2008 re: Rules on Entering into