for the clients trading securities under cash balance rule or those transferring high volume of securities into their accounts to increase their credit limit and later transferring such securities out
inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the
SEC therefore revoked her status as an approved capital market investment consultant and banned her re-entry as capital market personnel for one year and three months. However, taking into account that
, 2012. In this regard, the SEC suspended her from duty as an approved capital market investment consultant for a period of five months. Taking into account that she has already been suspended for two
organizations for their outstanding achievements in deploying information and communication technologies to enhance efficiency, capacity and operation. FutureGov Awards are divided into 16 categories: (1
companies? operations with increased transparency and prudence. The revision is in line with current international standards, which increasingly take into account these issues. Comments and suggestions on the
her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November
Bangkok, November 1, 2012 ? The SEC is seeking public comment on proposed revision of the Provident Fund Act B.E. 2530 to facilitate employee?s continuous savings into provident fund and thus having