suspended her approval of the capital market investment consultant and investment planner for 6 months, effective from December 9, 2014.Note: *Clause 23(1) and prohibited characteristics of personnel in the
: *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the
shall remain for 7 months and fifteen days, effective from October 9, 2014.Note: Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited
Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch
qualification and prohibited characteristics of director and executive of securities company; “manager of infrastructure fund” means infrastructure fund manager and fund manager; “infrastructure fund” means
approval as securities investment consultant. However, the approval as securities investment consultant for Nattapong has already expired since 31 December 2018. SEC has therefore prohibited him from re
baht each. The total fines of 3,135,871.25 baht will be submitted to the Ministry of Finance as public revenue. In addition to the civil sanctions, the SEC has banned Surachai and Somsak from holding a
Bangkok, 6 October 2016 ? The SEC has banned eight directors and executives of Nation Multimedia Group Public Company Limited (NMG) for having improper characteristics as specified in the SEC
for further legal proceeding. As a result, Paweena is banned from holding director or executive positions in any securities issuing company while the legal proceedings are underway. In any case, filing
offense in an amount of 350,900.00 Baht - a civil monetary penalty of 1,000,000.00 Baht The SEC has banned Mr. Choedchu from holding the position of director or