investment consultant for 6 months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014 which is less than 6 months, the suspension was then imposed
addition, the SEC revoked his status as an approved capital market investment consultant for using client securities trading account to trade securities for himself; as well as will not consider his
concerning Application for and Approval of Offer for Sale of Newly Issued Shares; “executive” means a manager, deputy manager, assistant manager, department director, or any person who holds a position
Commission which each type of customers may invest or possess. Clause 8. In case the customer wishes to put his or her property into the custody of the derivatives fund manager, the derivatives fund manager
Exchange Commission Governing Rules, Conditions and Procedures for Approval of Property Fund Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause 19(6) and https
) Translation Securities and Exchange Commission Governing Rules, Conditions and Procedures for Approval of Property Fund Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause
. Facilitating payments out of the fund: e.g., allowing the registrar to order dissolution of the fund including a withdrawal of one employer from a pooled fund, allowing the fund manager to make a payment to an