authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as
her employer for six months. The SEC thus ordered another two months? suspension to complete the term. AEC Securities: (10) {K}, capital market investment consultant and investment planner, is
been disclosed to the public or so called inside information or non-public information, a person who has access to such information by virtue or his/her office or position must absolutely abstain from
the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant for 4
FOCUS share price. Her jail term, however, was suspended for two years.Yesterday (October 31, 2012), the Criminal Court ruled against two share price manipulators for violating Section 243(1), (2) in
Commission No. SorThor/Khor/Dor/Nor. 4/2554 Re: Special Holiday of Securities Companies and Derivatives Business Operators _____________ This is with regard to the Cabinet’s resolution on 30 November 2010
Commission No. SorThor. 2/2555 Re: Special Holidays of Securities Companies and Derivatives Business Operators This is with regard to the Cabinet’s resolution on 10 January 2012, which has declared Monday, 23
Notification of the Securities and Exchange Commission No. SorThor. 4/2552 Re: Special Holiday for Securities Companies and Derivatives Business Operators _____________ With regard to the Cabinet’s resolution on
Securities and Exchange Commission No. SorThor. 4/2552 Re: Special Holiday for Securities Companies and Derivatives Business Operators _____________ With regard to the Cabinet’s resolution on 17 February 2009
and Exchange Commission No. SorThor. 4/2552 Re: Special Holiday for Securities Companies and Derivatives Business Operators _____________ With regard to the Cabinet’s resolution on 17 February 2009, the