for ten years, starting from June 23, 2011.As Chalerm was penalized while he acted as a branch manager, he was deemed having prohibited characteristics for securities and derivative business personnel
, as Chalerm?s misconduct occurred while he was a branch manager of securities company, the above sanction caused him to have prohibited characteristics of personnel and executives in securities and
have prohibited characteristics of capital market personnel pursuant to relevant regulations as long as he is subject to the complaint and the subsequent procedure, which caused his approved status to
offenders had refused to enter the settlement process. In addition, Nongluck and Adirek, as approved investor contact, are deemed to have prohibited characteristics of capital market personnel pursuant to
the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry dated 15 September 2010, which is deemed a
accounting standards; executives with trustworthy characteristics; and proper disclosure of material information for investment decision making. The regulations approved by the Capital Market Supervisory Board
characteristics under the SEC Office Notification concerning financial advisor approval and scope of performance B.E. 2552. The SEC, therefore, revoked the financial advisor supervisor approval granting to {A}.In
. Besides, the persons named in the criminal complaint filed by the SEC are deemed as having untrustworthy characteristics of director and executive of a publicly held company. This caused the termination of
also considered personnel in the capital market. As a result, his aforesaid misconduct has caused him to possess the prohibited characteristics of capital market personnel.* This deems him unfit to
filed the criminal complaint against {A} with the DSI for further legal proceeding. Consequently, he is deemed as having untrustworthy characteristics of director of a publicly held company, and thus