Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
Sungwalram(4) Ms. Thanaporn Suwannapong (also branch manager)(5) Mrs. Pranee Rodyindee and(6) Ms. Dok-or ChotanaThe SEC's findings have also revealed that two other investment consultants, namely (7) Ms
intends to share the branch manager with other full-service branch offices such securities company shall submit the application together with document evidence showing the details of management plan and
arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit; (2) A securities operation unit, the securities company may arrange
management and supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the derivatives broker within
management and supervision of the operation of the full- service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the derivatives broker
with document evidence showing the details of plans for management and supervision of the operation of the full- service branch offices managed by the same manager. The Office shall consider and notify
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) MarketingRepresentativeofDerivativesFundManager Data > Market Data > Intermediaries > Asset Management Businesses > Marketing Representative of Derivatives Fund Manager Market Data SHARE : Detail Content No. List of Licensees Approval