Mr. Paiwan Butrsa Mr. Paiwan Butrsa, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the audited financial

Mr. Yongyuth Ngamkaiwan Mr. Yongyuth Ngamkaiwan, the representative of Thai Unique Coil Center Public Company Limited (TUCC), responsible for the operation of TUCC, failed to supervise TUCC to

supervise TUCC to prepare the reviewed financial statements for Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out

market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from

) B. Direct&Supervise&Review B Direction, supervision and review responsibilities: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for direction and

cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given

procedures as specified in the Notification of the Capital Market Supervisory Board by failing to supervise transactions that are considered conflicts of interest by investing in two of IPO securities for

, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board to supervise transactions that are considered conflicts of interest by investing in unrated and unlisted bill

Mr. Tana Uawithya Mr. Tana Uawithya, the director responsible for the operation of Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), failed to supervise STHAI to prepare and submit the

SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC has the duty to supervise and develop the Thai capital market. One of our key responsibilities is to help increase businesses’ access to