securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market
under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to
future application for approval as personnel in capital market business shall not be accepted for five years. In any case, since Krungthai Zmico has already suspended her from the role of investment
Supervisory Board.* Therefore, SEC will not accept his future application for approval as personnel in the capital market business for a period of five years, effective from 25 February 2020. Investors are
order was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved securities
Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc
Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012; classified as prohibited
orders via mobile phone.Failure to keep a complete record of derivatives trading orders was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic