serving as director or executive for a period of 12 months; The prohibition periods for the offenders serving as director or executive will commence on the dates when the offenders sign letters of consent

obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to

consultants are not allowed to make investment decisions for investors, no matter if the investors give a consent or not, and they have to perform professional duties with loyalty and integrity at all times

their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

of the Department of Special Investigation, the Governor of the Bank of Thailand and the Secretary-General of the SEC. With consent of the Civil Penalty Committee to commence the civil penalty

and the joint commission of, or consent to, the making of false entries in the accounting records and documents of STARK and its subsidiaries. The SEC therefore considered that the actions of Mr

, KBank Payroll customers receive a loan offer and give e-Consent, and their account is credited immediately after loan approval.  Mass Guided by a strategy of upgrading customers with the potential to

/2010 8. Notification of the Office of the Securities and Exchange Commission  OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of

/2007 9. Notification of the Office of the Securities and Exchange Commission  OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of

Director of Derivatives Broker   28/12/2006 01/01/2007 9. Notification of the Office of the Securities and Exchange Commission  OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval