Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make securities trading decisions on behalf of the client. She then continuously made trading decision...

deficient operations, as ordered. The SEC Board, therefore, by virtue of Section 35, Paragraph 2, of the Digital Asset Business Law, passed a resolution ordering a suspension of Zipmex business operations as

care to preserve the interests of the person who has authorized the management of the private fund, using knowledge and competence as a professional. He was then considered failing to comply with the

suspension, revocation and termination of the approval to be the appraisal company in capital market and the lead appraiser approved under Chapter 1 or Chapter 2 shall be subject to Chapter 4. Clause 5 In

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

characteristics as follows: (1) having deficiency in legal competence or having been subject to any legal proceeding under the law governing capital market or having untrustworthy characteristics as specified by

{E} for nine months. In case of {D} already been suspended by RHB OSK Securities (Thailand) Plc., for a month, the suspension imposed by the SEC shall remain eight months. For {A}, the SEC barred him

recent suspension of all Baht and cryptocurrency withdrawals. The e-form aims to further facilitate the affected investors’ submission of information and the SEC’s collection of clear and accurate facts

subject to a month suspension by Globlex Securities Company Limited, however, the suspension period shall remain one month; 2. Imposed two-month suspension on {B}, a securities investment consultant; and3