Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from duty as approved capital market investment
among their business units or sufficient check and balance systems must be in place. This is to ensure that REIT trustee will perform duty for the utmost benefits of REITs and REIT unitholders. In this
with relevant laws and regulations. **Details of sanctions are as follows:1. Suspended {A} from his duty as the approved securities investment consultant for 3 months, effective from July 3, 2015. 2
a general approval for individuals who have been ready to perform the duties of PF/DF marketing agents, (2) the relaxation of work system requirements to focus only on those essential for duty
companies, whereby the reporting duty would begin only after the issuer?s securities have been listed on the Stock Exchange of Thailand.The consultation paper is available at www.sec.or.th. Stakeholders and
issuing Thai companies, whereby the reporting duty would begin only after the issuer?s securities have been listed on the Stock Exchange of Thailand. The consultation paper is available at www.sec.or.th
owners, in order to gain indirect benefits for himself. His actions are deemed as failure to honestly and fairly perform his duty in providing financial services, lacking of professional accountability or
person in charge of mutual funds? investment and might learn of the funds? investment information as well as those having duty to send trading orders. The business operator must seek the SEC approval for
Perform Duty of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from performing duties of investment consultant for six months. Taking into