to increase flexibility for members to manage their savings effectively to enhance the efficiency of provident fund as an effective retirement savings and investment mechanism for employees. This

 {A} from the duty as the approved securities investment consultant for 4 months, effective from April 23, 2015.  As the suspension was deemed as the 2nd category of prohibited characteristics of

Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended him from duty as the approved securities investment consultant for 4 months. Having considered that

Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC

the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant for 4

Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a

for a period of two years and six months, effective from 22 January 2019.The SEC has revoked the approval for {B} as capital market investment consultant for two years and six months; however, since his

his approval as investment consultant and branch manager or equivalent position for two months for failing to comply with the client’s instruction, effective from 5 April 2019, and disclose the

capital market business for a period of 10 years, effective from 6 May 2020._______________________________ Note: * Pursuant to Clause 23(1) and the prohibited characteristics of

investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years