Board No. TorThor/Nor/Khor. 58/2552 Re: Qualifications and Other Prohibited Characteristics of Directors and Executives of Securities Companies (Codified) By virtue of Section 16/6 of the Securities and

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry ------------------------------ By virtue of the following Sections: (1) Section 16/6 and Section

and Exchange Commission No. SorKhor. 22/2553 Re: Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees _____________ By virtue of Clause 3(4) of the Notification of the

จริงสมมติที่ Mr. James เสนอให้บริษัทเข้าทำธุรกรรมกับบริษัทที่ตนเป็นผู้ถือหุ้น 3 Is it forbidden to appoint the same individual as CEO and chairperson of the board of directors? 4 Must a detailed notice

Board No. TorThor/Nor/Khor. 87/2552 Re: Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (Codified) By virtue of Section 18 and the first

damage at the amount of 20,000 baht.   SEC has considered that Sorrapon failed to perform duties with loyalty* by committing wrongful acts against the investor’s asset, which was deemed a prohibited

. Notification of the Office of the Securities and Exchange Commission No. SorKhor. 22/2553 Re: Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees

business. Thitirat?s wrongful actions resulted in her having prohibited characteristics of investor contacts in the securities business. The SEC therefore revoked the approval of investor contact from

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