another person's trading account and arranging financial matter for such investor. As the employer has already put her on a three-month suspension, the SEC is suspending her for the remaining three months
; while for inquiries in this matter, please call 0-2263-6000.
serving as a director or executive, at the maximum statutory penalties.In addition, the SEC has referred this matter to the Anti-Money Laundering Office (AMLO) for further action within its authority, as
, as well as a bar from serving as a director or executive, at the maximum statutory penalties.In addition, the SEC has referred this matter to the Anti-Money Laundering Office (AMLO) for further
committee inform their interests in the matter under consideration; (2) the trust manager shall ensure that the members of the investment committee with interests in the matter under consideration, whether
under this Chapter; (2) In cases where type of administrative sanction applicable to the alleged person is not the authority of the SEC Office, the SEC office shall propose the matter to the
dated 6 September 2013, and other relevant rules. The SEC Office hereby recommends the name of the contact officer in this matter: Ms Lalida Chuayrak, Tel: 0-2263-6255. Please kindly be informed and
matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept