past year, there is no record of being ordered to amend its financial statements or to explain or being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc

securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10

committing the misconduct. Additionally, the SEC has banned {B} from holding the position of branch manager in charge of capital market business at the bank for two months. Following the complaints from

, since the suspension as investment consultant is a prohibited characteristic of capital market personnel in Group 2 under Clause 30(4)(a) of the Notification of the Capital Market Supervisory Board No

banned under the law on Supervision of Financial Institutions, either Thai or foreign law, provided that such prohibited characteristics are related to corruption, fraud / managing work in violation of law

having any of the following characteristics shall be deemed to have untrustworthy characteristics: 2 (1) being an insolvent person, an incompetent or a quasi-incompetent person; (2) being banned from

sectors, countries and companies are prohibited from investing; ▪ Traditional financial factors are ignored; ▪ Portfolio returns are sacrificed to perform ESG integration techniques. ▪ Analysing financial

committing the offense in an amount of 999,200.00 Baht     - a civil monetary penalty of 1,249,000.00 Baht The SEC has banned Chatchai from holding the position of director

and Exchange Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the

. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. By