). Clause 2. The auditor who is approved by the Office of the Securities and Exchange Commission under the Notification governing approval for auditor , and is eligible to do auditing and put his or her

approved by the Office of the Securities and Exchange Commission under the Notification governing approval for auditor, and is eligible to do auditing and put his or her signature in the opinion on the

eligible to do auditing and put his or her signature in the opinion on the financial statement of a securities company, shall be a certified public accountant who is approved by the Office of the Securities

condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was

her jail term to 42 years and six months? Yupin was sentenced to 65 year imprisonment for 13 counts at five years each.  The Court halved her jail term to 32 years and six months.However, the Penal Code

therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6

authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as

her employer for six months. The SEC thus ordered another two months? suspension to complete the term.  AEC Securities:  (10) {K}, capital market investment consultant and investment planner, is

been disclosed to the public or so called inside information or non-public information, a person who has access to such information by virtue or his/her office or position must absolutely abstain from

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