market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from

probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client

and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the

to inform investor of the hours and days on which trading order will not be accepted; (2) complying with requirements as specified in the Notification of the Capital Market Supervisory Board concerning

notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the

notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the

any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Securities and Exchange Commission

any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No

SEC has applied the principles for regulatory reform to revising governing mutual fund regulations in order to ensure that these rules are reasonable, practical and less burdensome for the

strictly for reference. 2 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 50/2559 Re. Report Forms of Securities Business Operators and Derivatives Business Operators