Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of

:   Clauses 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 and prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification

Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. The said actions were also classified as prohibited characteristics of personnel in capital market according to Clause 6

. 3. The securities company permitted a person having prohibited characteristics to be its executive and failed to report to the SEC. In the past, such person was suspended from duty of marketing

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

submit the total amount of the civil penalties and the compensation to the Ministry of Finance as public revenue. Apart from the civil sanction, the SEC banned Sarath from holding the position of director

order, the two offenders have become persons possessing untrustworthy characteristics and subsequently banned from the position of director or executive at any securities issuing company or listed company

banned Ravi from holding the position of director or executive at any issuing or listed companies for one year.* ________________________________ *In compliance with the Notification of the Securities

-osoth, (2) Ms. Poramaporn Prasarttong-osoth, and (3) Mrs. Narumon Chainaknan. The offenders were subject to pay civil penalties at the total amount of 499.45 million baht. In addition, they will be banned

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