and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} from her duty as an approved derivatives investment consultant for a period of one month. Taking into account that

served.*Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving

Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore

Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012.  The

Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18

Bangkok, October 30, 2012 ? The SEC requires advertisement on marketing campaign for selling mutual fund investment units clearly provide the fund?s information and avoid giving too much information

Investment and Giving Investment Advice dated January 18, 2012. In this regard, the SEC suspended {A} for six months. Taking into account that she has already been suspended by her employer for one month and

the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated

of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clauses 23(2) of the Notification of Capital Market Supervisory Board No

}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving