rules on capital market personnel*. As a result, the SEC has revoked her approval as capital market investor consultant for 10 years, starting from June 8, 2016. SEC Deputy Secretary-General Tipsuda

companies they work for. ________________ *Violation of Clause 20(1) and 20(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Business

seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause

operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and

misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of

performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended

. Set the period for acceptance of re-application of {B} as the capital market business personnel for 3 months, effective from June 27, 2015. 3. Suspended {C} from her duty as the approved securities

will not accept her future application for approval as personnel in the capital market for the remaining period from 31 December 2020 until the 15-month suspension ends. {A} resigned from Finansia on

business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Phisit as an investment consultant for complex products Type

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