Statistics of Administrative Sanction (As of 31 May 2023) Public Reprimand Suspension Revocation Public Reprimand Suspension Revocation Business Operator Personnel Director & Executive
approval as the capital market personnel will be accepted after 11 months as from July 9, 2015.2. Suspended Onjira Yuwadee from her duty as the approved securities investment consultant for 1 month
shall be suspended until the lapse of such period and his re-application for approval as the capital market personnel will be accepted after 11 months as from July 9, 2015.2. Suspended {B} from her duty
, 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
personnel prescribed in the Notifications of the Capital Market Supervisory Board*. The SEC therefore has revoked the approval of these two capital market investment consultants for a period of 10 years each
deemed as performing duty with dishonesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as capital
Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry ------------------------------ By virtue of the following Sections: (1) Section 16/6 and Section
fuel made from both vegetable oil and animal fats.2 Biogas: A mixture of methane (CH4) and carbon dioxide (CO2) used as fuel and produced by bacterial degradation of organic matter or through
cases: (1) appointment of infrastructure fund’s personnel as follows: (a) infrastructure fund manager who perform duty of making investment decision or divesting of infrastructure asset of infrastructure
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm