securities investment consultant for one month. Having considered that she had already been subject to one-month suspension imposed by her employer, the suspension imposed by the SEC is deemed to have been

Investment and Giving Investment Advice dated January 18, 2012. In this regard, the SEC suspended {A} for six months. Taking into account that she has already been suspended by her employer for one month and

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

manager must make use of employee?s saving and employer?s contribution in the specified order. First, fund manager must invest or seek benefits under such employee?s previous investment policy.  If the fund

his employer for four months, the suspension imposed by the SEC has already been served.

capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Taking into account that {A} had already been suspended by her employer; the

his duty as the approved capital market investment consultant for 8 months. Taking into account that Atthapol had already been suspended by his employer for 15 days; the suspension imposed by the SEC

. Taking into account that {A} had already been suspended by his employer for a month 7 days, however, the suspension imposed by the SEC shall remain 4 months 23 days, effective from December 11, 2014.Note

*, 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