violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital
*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Having considered that {A} had already been suspended by her employer for a month, the
to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product
3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit
by utilizing trust to create the investment vehicle having company with expertise in real estate investment and management perform duty of REITs manager.REIT regulations are partially similar to those
the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant for 4
key points as summarized below: 1) REIT manager has the duty to notify the SEC for the termination of the trust property, as well as gather all accounts, evidentiary documents and
(2) Mr. Chatnarong Chattrabhuti and (3) Maj. Gen. Boonlert Jangnopparat have the duty to convene a shareholders meeting to elect new directors in accordance with Section 83 of the Public Limited
SEC files criminal complaint against three alleged offenders on account of failure to perform duty in good faith causing damage to the company Bangkok, April 23, 2012 ? The SEC today filed a