Ministerial Regulation Re: Approval of Securities Business B.E. 2551 (2008), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The Notification of the Securities and

Ministerial Regulation Re: Approval of Securities Business B.E. 2551 (2008) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The Notification of the Securities and

, regular review of documents and evidence on one?s own investment portfolios sent from the responsible intermediaries is another way to protect one?s own assets.? ______________________ *Clause 20(1) of

companies they work for. ________________ *Violation of Clause 20(1) and 20(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Business

she had already been subject to one-month suspension imposed by his employer, the suspension imposed by the SEC shall remain for 3 months, effective from May 20, 2015. *Clause 20(2) and (3) of the

therefore suspended {A} from his duty as the approved securities investment consultant for one month, effective from February 23, 2015.---------------* Clause 20(2) of the Notification of Capital Market

already been suspended by his employer for one month; the suspension imposed by the SEC shall remain five months, effective from February 26, 2015.# # # #* Clause 20(2) of the Notification of Capital Market

. The financial statement for the year 2016 did not comply with the Thai Accounting Standard no.18 (revised 2015), Revenue (TAS 18) and clause 14 a(i) of IAS - IE 18. Later, the rectified financial

the SET and the SEC Office. The Form 56-1 did not comply with the Thai Accounting Standard no.18 (revised 2015), Revenue (TAS 18) and clause 14 a(i) of IAS - IE 18. Later, the rectified Form 56-1 was

Office.The Form 56-2 did not comply with the Thai Accounting Standard no.18 (revised 2015), Revenue (TAS 18) and clause 14 a(i) of IAS – IE 18. Later, the rectified Form 56-2 was filed with the SET and the SEC