behavior.On {A} case, her employer reported to the SEC that {A} failed to meet minimum educational requirements for her job. The SEC ' s further probe showed that she also failed to meet the SEC's requirements

for a period of two months. Taking into account that he has already been suspended by his employer for one month and fifteen days, the suspension imposed by the SEC shall  be fifteen days, effective

. Facilitating payments out of the fund: e.g., allowing the registrar to order dissolution of the fund including a withdrawal of one employer from a pooled fund, allowing the fund manager to make a payment to an

her employer for six months. The SEC thus ordered another two months? suspension to complete the term.  AEC Securities:  (10) {K}, capital market investment consultant and investment planner, is

person by the account owner's name to conceal the fact and mislead the employer company that it was the account owner himself who sent the orders.  {D}, an investor contact of Globlex Securities Co., Ltd

Plc. (LH) holds 100% shares, as “Employee” 2. Siam Retail Development Co., Ltd. (SRD) as “Employer” Connected parties Mr. Anant Asavabhokhin is a major shareholder of LH, holding 24% shares, and also a

day suspension by his former employer, however, the suspension period shall remain seven months and seventeen days. 

authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer

} for one month from their duties as approved capital market investment consultants effective from March 27, 2014. For {B} who had already been suspended by his employer for fifteen days, however, the

guidelines. Taking into account that she has already been suspended by her employer for three months, the suspension imposed by the SEC is deemed to have been served.