the company, regardless of the job title; (8) “Fund Manager” means fund manager approved by the Office of the Securities and Exchange Commission according to the notification of the SEC Office governing
has been approved or registered to perform duties similar to investor contact from a regulatory organization of the countries accepted by the Office, in case the investor contact has obtained approval
period and his re-application for approval as the capital market personnel will be accepted after 9 months as from June 23, 2015. For Kacha, The SEC suspended him from the approved securities investment
") member states. As a consequence, the SEC approved auditors will be exempted from registering with respective audit regulators of EU. SEC Secretary-General Vorapol Socatiyanurak said ?The EC?s recognition
client accepted the proposed transactions. At the end of trading day, {A} notified the amount of money to be received or paid whereas the client did not reject or decline the transactions. In case of {B
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
The Securities and Exchange Commission (SEC), represented by Ms. Archinee Pattamasukhon, Assistant Secretary-General and Head of the Complaint Center, accepted the Outstanding Cooperation Award