holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital

liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to

The meeting discussed significant and challenging issues such as harmful, but legal conduct. In this regard, the SEC Secretary-General shared her view on the importance of information disclosure

protection for safety of his/her life and property. SEC invites public comments on the proposed witness protection measures that will be added into 4 Acts* administered by SEC. The Agency will, in addition

partly due to the fact that Jeeraporn, former assistant auditor, had disclosed the draft financial statements of the clients under responsibility of her audit group to her sister Jeeranan when she knew or

reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's

{G}. The SEC found from the routine inspection that {A} frequently failed to record her clients' derivatives trading orders while {B}, {C}, {D}, and {E} frequently failed to record their clients

characteristics of director and executive at any issuing or listed company for a period up to 3 years to be specified by the SEC.In case of Ornsiri, her assistance to Assavin?s insider trading was an offence under

Laddawan's and Orapin's for 0eight years each. In addition, {A}' s application for approval as investment consultant has been rejected, and the SEC will not accept her future applications for approval as

extensive experience in market and intermediaries supervisions, corporate governance, financial literacy promotion, public relations, stakeholder relations and administration. Her appointment as Assistant