insurance company in charge. SEC has considered that Sarunya, whose license as life insurance broker and agent had been revoked by OIC for performing duties dishonestly, was deemed to have a prohibited
pay interest, constituting an offense. The Investment Committee is considered to have the prohibited characteristics to act as personnel in the capital market business.** The SEC has suspended Mr
Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees
approval for him as capital market business personnel for four years, starting from 29 January 2021. As a result, he is also banned from holding the positions of director and executive of capital market
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
consultant of Veerachai and banned his re-entry as capital market personnel for 10 years, starting from June 3, 2016.Similarly, Jakkrit?s approval as capital maket investment consultant has been revoked for
the approval for {A} as capital market investment consultant for complex products type 1** and investment planner, and banned him from applying for a new approval as capital market business personnel
reference. Notification of the Securities and Exchange Commission No. Kor Yor. 51/2547 Re: Determining Proportion of Directors of Derivatives Exchange and Prohibited Characteristics of Directors of