loss of damages arising from or related to its use. ------------------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange

companies from accepting orders of purchase, transfer or exchange of securities that would result in Thai investors gaining more possessions of NVDR unless in the case where the rights arise from holding NVDR

money to the company as originally intended by the client. Instead, he used the money for his own benefit. As a result, the client’s life insurance policy became ineffective and the client suffered

the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered

duty with responsibility and deliberation as a professional. Her misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended her approval as

in such shares. As a result, the client was misled by the information and advice given by {A}, purchased such shares at the amount of 5 million baht, and suffered damage from the purchase.By giving

rules on capital market personnel*. As a result, the SEC has revoked her approval as capital market investor consultant for 10 years, starting from June 8, 2016. SEC Deputy Secretary-General Tipsuda

any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and

undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------- Notification of the Office of the Securities and

undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and