instructed Kanchana, an ex-ZMICO Senior Vice President, to acquire 172,400 shares of such listed company at 5.30-8.50 baht per share, on the Stock Exchange of Thailand through securities trading account of

account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12

Fund 75/25 (BLTF75/25) after only verifying the client?s name and the number of units to be redeemed without reviewing the client?s account statement nor calling for the client?s close attention to the

nationality, on account of operating securities business without license.? Several foreign investors informed the SEC that Mr. Malpass, who resided in Thailand, had solicited them to transfer their pension

companies? operations with increased transparency and prudence. The revision is in line with current international standards, which increasingly take into account these issues. Comments and suggestions on the

companies? operations with increased transparency and prudence. The revision is in line with current international standards, which increasingly take into account these issues. Comments and suggestions on the

companies? operations with increased transparency and prudence. The revision is in line with current international standards, which increasingly take into account these issues. Comments and suggestions on the

January 18, 2012. The SEC therefore suspended {A} from his duty as an approved securities market investment consultant for a period of three months. Taking into account that he has already been suspended by

. 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

>ข้อ 1   ในกรณีที่เป็นการตั้งบัญชีเงินสำรอง (Reserve account) หรือเงินทุนทยอยชำระ (Sinking fund) ในรูปทรัสต์เพื่อการชำระหนี้ในการออกหุ้นกู้ ให้ผู้