suspended {A} from duty as an approved capital market investment consultant for a period of one year.In case of {B}, the SEC received a report from a securities company that she failed to record her two
, 2012. In this regard, the SEC suspended her from duty as an approved capital market investment consultant for a period of five months. Taking into account that she has already been suspended for two
violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital
*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Having considered that {A} had already been suspended by her employer for a month, the
to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product
are in the process of legal execution: 2.1 Sayam Hin Pradub Co., Ltd. is a debtor under the judgment of the Southern Bangkok Civil Court, in which the court has ordered the debtor to repay the debt of
process of legal execution: 2.1 Sayam Hin Pradub Co., Ltd. is a debtor under the judgment of the Southern Bangkok Civil Court, in which the court has ordered the debtor to repay the debt of 73,544,313.75
Bangkok, 23 June 2017 ? The SEC has ordered Polaris Capital Public Company Limited (POLAR) to have an auditor conduct a special audit on the sources, existence and completeness of its accounting
3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit