caused by {B}, the bank’s branch manager at the time, whose negligence in inspecting and supervising duty performance of {A}, her subordinate, in a reasonable and proper manner, led to opportunities for

, therefore, bars {D} from re-entry capital market business for two years and eight months, starting from 18 December 2020. During this period, {D} will not be able to perform duties as a branch manager or

during 1 April 2016 - 4 May 2016. In so doing, (6) Mrs. Supritha Pai Kasturi, Senior Manager of PTL Finance and Accounting Department, helped to execute the PTL purchase orders before the inside

and a private fund manager, had collusively planned and conducted, with divided assignments, the manipulation of price or trading volume of TIGER shares, with the assistance of Shanya, Investment

with the same characteristics as such investors under (1)-(15) mutatis mutandis(17) Individual registered as qualified fund manager/ derivatives fund manager(18)  Other types of investors as specified in

, and {B}, as manager, for such contravention which is liable under Section 125 of the same Act. Any persons who suffered damage from the company's illegal operation are encouraged to contact the ECD

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

}, formerly a manager of Chonburi branch and a capital market investment consultant of the same company, for aiding and abetting the aforementioned acts. The sanctions imposed on these five persons took effect

มีระบบงานและระบบการกำกับดูแลการปฏิบัติงานที่ดี รวมถึงทำให้เกิดวัฒนธรรมของการกำกับดูแลกิจการที่ดีภายในองค์กร (compliance culture) นอกจากนี้ Fund Manager2 ก็เป็นผู้ที่มีบทบาทสำคัญอย่างยิ่งใน

manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the