determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 81,989,987.87 Baht The SEC has banned Mr. Sittichai from holding the position of
; - a civil monetary penalty of 1,593,256.00 Baht currently under the process of legal executionThe SEC has banned Mr. Thanawat from holding the position of director or
therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
investment consultant. However, the approval as securities investment consultant for Nattapong has already expired since 31 December 2018. SEC has therefore prohibited him from re-entering as capital market
consideration of subsequent applications by taking into account the significance of the prohibited qualifications, provided that in the case of the timeframe, such period shall be no longer than fifteen years
Board TorThor/Nor/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 58/2552
Board TorThor/Nor/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 58/2552
Board TorThor/Nor/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 58/2552
dated January 18, 2012 which was the 3rd category prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board
”) had a https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/201905/19047247.pdf Qualification%20of%20Derivatives%20Investment%20Analyst%20on%20Fundamental%20Factors.pdf possession of prohibited