Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing

their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex

/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3

2,666,666.67 Baht fine. The jail term was suspended for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The

. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment and 4,000,000 baht. The jail term was suspended for two years. The later, on February 18

-month imprisonment and 500,000 Baht fine. The jail term was suspended for two years. The case was deemed final. SEC Act S.241 Criminal Complaint Filed with an Inquiry Official Dated 19/08/2013

suspended the approval for Patamavan as capital market auditor. However, she has resigned from the position since 22 March 2019. The SEC therefore will not accept her future application for approval as a

media interview, of additional information beyond what appears in the filing of CHEWA initial public offering. The cooling period of the IPO, as a result, has been suspended due to the inconsistent

important information and business secrets of the company without approval. He later resigned from the company.  SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended

of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC disclosed inappropriate behavior from May 7, 2014 and suspended {A