capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved
submitted such document on 30 January 2023, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. SEC Act S.56(2
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by managing an advertisement about commission-free trading services without end period that cause investors or
and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee
specified by the Notification of the Capital Market Supervisory Board. However, the financial statement for Q3 year 2023 was later submitted on 9 January 2024. SEC Act S.56(1) Settlement Committee Meeting
with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116
supervise TUCC to prepare the reviewed financial statements for Q3/2015 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out
supervise TUCC to prepare the reviewed financial statements for Q3/2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out
prepare the reviewed financial statements for Q1/2017 and the reviewed financial statements for Q2/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification
supervise TUCC to prepare the reviewed financial statements for Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out