Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's
the derivatives broker including spouse, cohabiting couple and minor children thereof, and any person who has facts or circumstances that allow the SEC to consider that he/she is the undisclosed
the court?s decision binds all members of the class at once,? she added.The court and lawyers have a major role in the legal proceedings of a class action. Pursuant to the Thai Class Action Law, lawyers
indicating the customer's confirmation that he or she was the person sending the securities trading orders must also be included."
judgment in relation to Suree that she was an aider and abettor rather than a principal, and thus sentenced her to a four-month imprisonment and a fine of 133,333.33 baht for the violation which occurred
she had already been subject to one-month suspension imposed by his employer, the suspension imposed by the SEC shall remain for 3 months, effective from May 20, 2015. *Clause 20(2) and (3) of the
,? she added.? In any case, the SEC rulemaking on intermediaries? work systems emphasizes more on principles based approach and minimum requirements to better respond to business models and risk profiles
ID document requirements to other matters such as exercise of right offering or share warrants,? she added.
., Ltd. (K-Asset) and SCB Asset Management Co., Ltd. (SCBAM), as well as the equity funds managed by both companies. Evidence indicated that she had performed her duty dishonestly in order to obtain