decision to execute transactions for investment in two associate companies. In addition, the auditor could not reach a conclusion for the audit of the financial statements for Q3/2016 on the basis of (1
qualifications and do not possess any prohibited characteristics as specified by law, and at least two of whom having management experience at listed or securities firms. Expert board members each hold office
qualifications and do not possess any prohibited characteristics as specified by law, and at least two of whom having management experience at listed or securities firms. Expert board members each hold office
investment consultants who were in charge of this client for two consecutive periods of time, aided or abetted {A} in trading on behalf of the client as the client was not keen on investment and allowed Tanya
exceeding two years or a fine not exceeding twice the offer price of the total digital tokens offered for sale but in any case not be less than 500,000 baht, or both imprisonment and fine. The second count
Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for two months, effective from February 9, 2015
the client of FIFO criteria applied by the Revenue Department. Accordingly, instead of the LTF investment units purchased in 2013, the selling order resulted in deduction of the units purchased two
on behalf of clients.Following the report of Kasikorn Securities Plc., the SEC probed into the case and found that {A} had been authorized by two clients to make derivatives and securities trading
capital market investment consultant for five months. Taking into account that {A} had already been suspended by her employer for three months, the suspension imposed by the SEC shall remain two months
comply with international standards and be recognized in the global community. Also, the capital market is a key driver of the national financial system. The FSAP involved two main separate assessment