, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana

investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the

) Financial Projection of the Current Year (if any) : None (14) Pending Material Lawsuits or Claims : None (15) Interests and Connected Transactions : None (16) Responsibilities of the Company’s Board of

attach claims on the property of the convicted person to be fined and achieve the effects of law enforcement.SEC Secretary-General, Rapee Sucharitakul said: "Effective law enforcement is an important part

related to the applicant, and can demonstrate that such person will be able to perform the assigned matter until the maturity date; (3) there is no reasonable ground to suspect that the regulator of the

to be true": If someone is offering unusually high investment returns with little to no risk, or claims it's a “limited-time” or “exclusive opportunity", always be suspicious.·       Do not

liable to collusion to commit a fraud and failure to perform duties with responsibility, discretion and integrity. NMG subsequently suffered damage from their violation or failure to perform duties

performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended

) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated

Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the