, the SEC will file a criminal complaint for further legal proceedings. Due to his misconduct, {A} is deemed to have prohibited characteristics of capital market personnel as specified in the

, as Chalerm?s misconduct occurred while he was a branch manager of securities company, the above sanction caused him to have prohibited characteristics of personnel and executives in securities and

, while he escaped from the case.  Owing to such severe offences, the SEC deemed Chalerm unfit to be in the securities business personnel and, therefore, revoked the approval status of the investor contact

Bangkok June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards

Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management

Bangkok, April 16, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved to revise rules governing capital market personnel to standardize the

, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the

Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000

Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft capital market personnel rules aiming at compiling and standardizing the rules and guidelines concerning all types of capital

Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The