, for three months starting from September 1, 2011, and also reprimanded another two investor contacts, (1) {C} and (2) {D} for interfering with client's assets. In case of {A}, the SEC received a report

(UBS), for taking unlawful gains for himself or others at the expense of UBS?s clients. The complaint also alleged six other persons for aiding and abetting Numkrit?s commission of misconduct, namely (1

will increase the opportunity for local businesses to have access to financial sources which in turn will not only enhance their competitiveness, but also increase the employment rate and income

client upon the request to take care of the trading account. She also sought assistance from a team member, an investment consultant in the team who was in charge of this client's account, to execute the

to her advice. {C} also failed to record her giving of investment advice and accepting of securities trading orders from many of her clients. {C} admitted that the unrecorded orders were taken via

global market environment. This year we are also celebrating the 20th anniversary and rebranding the SEC identity as a modern regulator and a visionary partner while staying committed to our working

{B}'s action was also deemed as breach of duty by performing investment analyst or investment consultant duty without obtaining the SEC's approval. Their actions were classified as prohibited

strengthening the market’s capabilities, but also at laying a solid foundation for the country’s long-term economic growth. By attracting high-potential businesses to raise funds, the market creates greater

deposits and withdrawals by requiring account name matching and delaying transactions involving high-risk customers. The SEC will also strengthen verification mechanisms for the implementation of Enhanced

investment plans remain unclear. Accordingly, there is no immediate necessity for FVC to utilize the entire proceeds from the disposal of KTMS shares. The IFA has also noted deficiencies in the share