market investment consultant for a period of three months. Taking into account that he has already been suspended by his employer for one month, the suspension imposed by the SEC shall therefore be reduced

during March ? May 2008 and  August 2010 and MAX shares in September 2010,  the SEC probed into the case and found that Shine and others had continuously sent securities trading orders through trading

, 2013.With a referral on the {A} case from the Stock Exchange of Thailand, the SEC probed into the case and found that {A}, then Senior Vice President Retail Sales 1 of Siam City Securities Co., Ltd., had

simply a virtual office for documents or telephone calls or a reception site to lure general public into their businesses. Frequently, the targets were appointed to meet with them at leading shopping

and derivatives businesses. Vasant Thienhom, SEC Deputy Secretary-General, said that ?Following suspicious report, the SEC probed into the case and found that Yuttana held himself out as money manager

Limited, the SEC further probed into the case and found that {A} persuaded the client to open the securities trading account and traded securities on behalf of such client. It was found that {A} determined

company. {E} also misled investors into believing that she was a representative or marketing officer for such foreign company. Using clients accounts to trade securities for other persons or sending trading

for the difference of gold pricesTungkum Limited (Tungkum), THL?s subsidiary, has entered into USD35 million loan agreement and agreement on gold delivery with a foreign bank whereby Tungkum is obliged

could step into the secondary market for buying or selling when needed. Presently, 14 dealers have signed Memorandum of Understanding (MoU) with ThaiBMA to ensure their services while the others are

considered.***   In determining the aforementioned period, the SEC has taken into account the following factors: relevant roles, behaviors of the person under consideration, any penalties already imposed