., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and
and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} from her duty as an approved derivatives investment consultant for a period of one month. Taking into account that
capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved
responsible and careful duty performance. He consequently possessed prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor Lor
15 days, the suspension imposed by the SEC shall therefore remain four months and 15 days. Meanwhile, {B} is suspended from duty for three months.
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
capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Taking into account that {A} had already been suspended by her employer; the
Securities and Exchange Act 1992 (SEA). Under the SEA, other than shareholders? approval, ADAM board of directors has the duty to comply with the Act which prescribes that acquisition or disposal of
his duty as the approved capital market investment consultant for 8 months. Taking into account that Atthapol had already been suspended by his employer for 15 days; the suspension imposed by the SEC