allowance for diminution in value of inventories, before such information became public on 25 February 2009. Patra had assisted Phaibul and Pongchalerm in selling such securities through her own account
(employee?s choice) in cases where the fund member chooses to invest less than 50 percent of his or her PVD?s proceeds in the fund with low risk investment (low risk investment policy refers to a policy to
, the suspension imposed by the SEC is deemed to have been served. For {B}, the SEC suspended her from duty as the approved equity investment consultant for one month, effective from March 16, 2015
judgment in relation to Suree that she was an aider and abettor rather than a principal, and thus sentenced her to a four-month imprisonment and a fine of 133,333.33 baht for the violation which occurred
admitted that the client, at the beginning, had authorized him to make securities and derivatives trading decisions on her behalf. Also, the recorded conversation found later indicated that the client
in the capital market*, the SEC, therefore suspended the approval as capital market investment consultant of {A} for 9 months. Having considered that she had already been suspended by her employer for
showed that a number of clients' securities trading orders were not completely recorded. For {C}, the first investigation revealed that she failed to completely record her advice and a client's securities
SEC Office to participate and observe such meeting. Clause 9 In case a unit offeror has amended or added any additional information in a registration statement and draft prospectus submitted to the SEC
the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in