) Suspension from duty starting October 20, 2004 until October 19, 2005 Miss Thiwaporn Eiamsa-ArdMaking decisions to buy and sell securities for clients

Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21, 2000, clause 14 (13) (as amended) Suspension from duty for 1 year and 6 months

' securities trading orders. All of them admitted that the unrecorded orders were taken via mobile phone. The SEC therefore suspended them from duty as approved investment consultant for one month. For {F} and

Suspension from duty for 6 months starting October 1, 2004 until March 31, 2005 2. Miss Yuvadee Kulvanichpisit3. Mr. Kanpol Marthong

. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading

and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in

materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of

refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty

Perform Duty of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from performing duties of investment consultant for six months. Taking into

instruction which is a duty required to be performed. SEC Act S.300 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 24/2020 Dated 02/09/2020