In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection
the AIMC has not issued relevant rules, asset management companies shall comply with the SEC’s regulations that have been in force before the effective date of the amended regulations until the AIMC
client accepted the proposed transactions. At the end of trading day, {A} notified the amount of money to be received or paid whereas the client did not reject or decline the transactions. In case of {B
Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc
, guidelines, service provider supervision, risk management, and business continuity measures. However, outsourcing does not discharge business operators from responsibility in the outsourced activities
violation of Section 243 (2) and liable to the penalties under Section 296 of the Securities and Exchange Act of 1992, i.e., imprisonment for a term not exceeding two years or a fine not exceeding twice the
who, at the age of 55 or older, resigns his or her post will be allowed to receive installment payments similar to the retired employee. Accordingly, such employee will not be required to withdraw the
deficiencies in management and internal control systems. The company’s financial statements contained items that did not exist or were misstated, and the capital maintenance report overstated liquid assets