Bangkok, October 6, 2014 ? The SEC revoked approval of 2 securities investment consultants for ten years; Thanjira Phonwattanakul (formerly named Natthareeya Kulpakawa), a consultant of Tisco Asset
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company
her from applying for a new approval as capital market business personnel for a period of 10 years, effective from 14 March 2019.Investors are advised to be careful and cast doubt on any solicitation
shares of the seller was a prerequisite before entering into the transaction. Therefore, there is doubt about whether NUSA has complied with the aforementioned prerequisite conditions. Additionally, what
Kasikornthai Asset Management 3 Tisco Equity Growth-SSF Tisco Asset Management 4 Bualuang Thai Equity-SSF Bualuang
companies ? Kasikorn Securities, Tisco Securities, Krungsri Securities and Phatra Securities - and three asset management companies - Kasikorn Asset Management, Tisco Asset Management and Krungsri Asset
Executives and representatives from key public and private agencies such as the Thai Listed Companies Association, Tisco Financial Group Public Company Limited, the Thai Institute of Directors
to verify the transactions. This raised doubt whether such transactions were executed as truly intended by the clients. In addition, a certain share transfer from a client account was found to be
transactions with such clients without calling the original number or pursuing any other means to verify the transactions. This raised doubt whether such transactions were executed as truly intended by the
Securities Co., Ltd. 6) Tisco Asset Management Co., Ltd. 7) Wealth Magik Securities Co., Ltd. “Capital market is an important venue for raising funds and savings, especially long