capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor
to serve mainly the interest of a single person or a single group of persons; (3) the establishment of the fund may cause an impact on the overall confidence in the Thai capital market or; (4) the
. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of
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