qualification and prohibited characteristics of director and executive of securities company; “manager of infrastructure fund” means infrastructure fund manager and fund manager; “infrastructure fund” means
the Capital Market Business Clause 4 Personnel in the capital market business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited
business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may
shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining
offense in an amount of 350,900.00 Baht - a civil monetary penalty of 1,000,000.00 Baht The SEC has banned Mr. Choedchu from holding the position of director or
the benefit received from committing the offense in an amount of 11,178,444.00 Baht - a civil monetary penalty of 13,973,055.00 Baht The SEC has banned Mrs
500,000.00 Baht The SEC has banned Mr. Amit Prakash from holding the position of director or executive at any issuing or listed companies for 1 year from May 17, 2019. SEC Act (before the fifth
the benefit received from committing the offense in an amount of 1,853,425.00 Baht - a civil monetary penalty of 2,316,781.25 Baht The SEC has banned Mr. Sarath
Board TorThor/Nor/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 58/2552