behalf of clients was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved
Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended him from duty as the approved securities investment consultant for 4 months. Having considered that
derivatives on behalf of client was failure to perform duties with responsibility and due care as the capital market professional under the Notifications of Capital Market Supervisory Board concerning personnel
account, and using the client?s securities trading account for his own benefits were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the
Market Supervisory Board concerning personnel in the capital market*, the SEC therefore,-1. Disclosed inappropriate behavior of {A}, a securities investment consultant and {D}, a capital market investment
Bangkok, October 16, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved to revise the regulations on services concerning investment in
failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory
revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved capital market investment consultant for six months. Taking into account that he had
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re