violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and

*, 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

bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions

of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore sanctioned three investment consultants as follows:   1. Suspended {A} from her

Hwa Fong Rubber Industrial Company Limited is the major shareholder in The Company, which holds 50.42 % of the company’s total shares. Service providers and service providers have common directors. - Mr

Industrial Company Limited is the major shareholder in The Company, which holds 50.42 % of the company’s total shares. Service providers and service providers have common directors. - Mr. Shen, Kuo-Jung is the

Rubber Industrial Company Limited is the major shareholder in The Company, which holds 50.42 % of the company’s total shares. Service providers and service providers have common directors. - Mr. Shen, Kuo

bondholders are prescribed to be subordinate to those of the ordinary creditors. “convertible bond” means a bond that may be converted into newly issued shares of the issuer of such convertible bond

consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and

The Securities and Exchange Commission (SEC) invites public comments on proposed amendments to the regulations governing the reporting of initial public offering shares (IPO shares) results. These