found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and

of the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business*. The SEC has therefore imposed a six-month suspension on {A}, effective from 12

SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make

client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s

governance, and who is able to bring about the growth of their investment that would be sufficient enough for their employees’ lives after retirement. The contest is sponsored by various organizations

enroll employees in the provident fund, providing the default portfolio for a member who does not make a selection, and specifying the details of accounting and recording of fund incomes and expenses; 3

Bangkok, 2 September 2016 ? In preparing the workforce for their retirement, the SEC is encouraging employers from both public and private sectors to support their employees? retirement savings

operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval

e-service Online Submission See canceled document Investment Advisory >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market

e-service Online Submission See canceled document Derivatives Advisors >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market