violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and

Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management

Microsoft Word - thawatcp 1073.doc This English version is prepared by staff of the Legal Department with the sole purpose of facilitating the comprehension of foreign participants in rules and

of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution for or supplementary

Microsoft Word - min_pvd1072.doc This English version is prepared by staff of the Legal Department with the sole purpose of facilitating the comprehension of foreign participants in rules and

is prepared by Legal Department with the sole purpose of  facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or

sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution for or

​ ________________________________    This English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event

with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution

of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore sanctioned three investment consultants as follows:   1. Suspended {A} from her