should not approve the proposed transaction due to limited information and uncertainty in material information. CWT has been in a municipality?s process of proposal submission for operating the waste
she had already been subject to one-month suspension imposed by his employer, the suspension imposed by the SEC shall remain for 3 months, effective from May 20, 2015. *Clause 20(2) and (3) of the
months. Having considered that he had already been suspended by Maybank Kim Eng Securities Plc., for 1 month and 4 days, the period of acceptance of his re-application shall remain 2 years 9 months and 26
Arthur Robbirt, a British citizen, on account of jointly operating securities business without license.The SEC has been informed by foreign investors residing in Thailand that Global Consultant ? located
) Plc., the SEC probed into the case and found that {B} and {A} had been authorized by their client to make securities trading decisions on the client? s behalf. {B} admitted that she has been authorized
consultant, for the misconducts found during the first investigation. For the misconducts found in the second investigation, two-month suspensions were imposed on both of them. Considering that they had been
Project which has been well-receptive during the past three years. Accordingly, the ?Pride of the Provinces IV? has been launched and now opens for new application until the end of June. By participating in
-application for approval as capital market personnel for 4 years. Taking into account that {A} had already been suspended from her duty as securities investment consultant by her employer for 3 months; the
capital market investment consultant for five months. Taking into account that {A} had already been suspended by her employer for three months, the suspension imposed by the SEC shall remain two months
*. The SEC, therefore, suspended Acting Subbieutant Saroj from his duty as the approved securities investment consultant for a year and 2 months. Having considered that {A} had already been suspended by