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

account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are as follows: 1. Suspended Ashiya Ashiyakul from his duty as the approved capital market

investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the

behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved

Investment and Giving Investment Advice dated January 18, 2012 (Notification No. TorLorThor. 3/2555). Accordingly, the SEC suspended {A} for three months from his duty as the approved capital investment

violation of Clauses 20(1) and 20(5) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis

the Constitution of the Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission performs duty as the Capital Market Supervisory Board under Section 60 of the Securities

duty as the approved capital market investment consultant for 9 months. Owing to the fact that the approval period remains until December 31, 2015, the approval shall be suspended until the lapse of such

. Set the period for acceptance of re-application of {B} as the capital market business personnel for 3 months, effective from June 27, 2015. 3. Suspended {C} from her duty as the approved securities