Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
months without suspension. Vasant Thienhom, SEC Deputy Secretary-General said, ?Listed companies? financial information are very important for investor?s ability to make investment decision. Hence, the law
fine of 500,000 baht for conspiring with Sagha in FOCUS share price manipulation. As she pleaded guilty, the Court halved her jail term to six months with two-year suspension and a fine of 250,000 baht
employer for one year and six days, the suspension imposed by the SEC shall remain five months and twenty four days, effective from February 12, 2015.*Clauses 20(1) and (2) of the Notification of Capital
temporary suspension of gold delivery was merely postponement of such delivery. THL remains obliged to either deliver gold at the quantity specified in the agreement or pay the compensation for the
suspension, revocation and termination of the approval to be the appraisal company in capital market and the lead appraiser approved under Chapter 1 or Chapter 2 shall be subject to Chapter 4. Clause 5 In
financial institution; (5) being in the period specified by the order of the SEC Office regarding suspension, revocation or prohibition from work in any position or any nature of work as personnel in
/2010 8. Notification of the Office of the Securities and Exchange Commission OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
/2007 9. Notification of the Office of the Securities and Exchange Commission OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
Director of Derivatives Broker 28/12/2006 01/01/2007 9. Notification of the Office of the Securities and Exchange Commission OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval