, effective from 12 October 2018; (b) suspending the approval of {B} as securities investment consultant and banning her from working as branch manager in charge of capital market business of the bank for two
, starting from 1 February 2018. In addition, since {B} is also a branch manager of the bank, she is prohibited from functioning as branch manager responsible for capital market business of any bank or
months, effective from March 19, 2015. During the suspension period, moreover, the Bank must not allow her to perform the duty of branch manager, in relation to the capital market business.*Clauses 20(2
personnel in the capital market business, the bank must not allow him to perform the duty of branch manager, in relation to the capital market business.*Clauses 20(1) of the Notification of Capital Market
therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6
recognized by the SEC as qualified personnel to perform duties of personnel in capital market such as fund manager and securities analyst. In this regard, we wish to extend our appreciation to CFA Society of
Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and
three offenders from performing duties as branch manager in the capital market business and suspended their approval as investment consultant and investment planner for four months each; {I}'s suspension
failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited Prapai from performing duties as branch manager in charge of capital market business and
committing misconduct. {B}’s act was deemed a failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited {B} from performing duties as branch manager in