and Disposition of Assets, 2004 (collectively, the “Notifications on Acquisition or Disposal”), having the highest transaction value of 31.09 percent, calculated from the Consolidated Financial

to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time.  Despite no intention to conceal information in the

revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the

capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.*  The SEC therefore suspended her from duty as the approved

customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities

her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November

who, at the age of 55 or older, resigns his or her post will be allowed to receive installment payments similar to the retired employee. Accordingly, such employee will not be required to withdraw the

violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and

*, 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

another person's trading account and arranging financial matter for such investor. As the employer has already put her on a three-month suspension, the SEC is suspending her for the remaining three months