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credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
Bangkok, June 12, 2012 - The SEC today signed a Memorandum of Understanding (MOU) with the Financial Services Commission (FSC), the capital market regulator of the Republic of Korea (South Korea), to
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
ประเภท [ ] ตราสารทุน [ ] ตราสารหนี้ [ ] ตราสารที่มี leverage [ ] 1. สำเนาบัตรประจำตัวประชาชน/สำเนาหนังสือเดินทาง [ ] 2. สำเนาทะเบียนบ้าน [ ] 3. สำเนาหลักฐานการศึกษา 4. หลักฐานการเปลี่ยนชื่อ-นามสกุล [ ] 4.1
The MoU, to leverage the expertise of and partnership with each signatory for achievements, aims to establish a solid foundation for financial literacy in the educational system through (1