behalf of clients was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved
Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended him from duty as the approved securities investment consultant for 4 months. Having considered that
., Ltd. (K-Asset) and SCB Asset Management Co., Ltd. (SCBAM), as well as the equity funds managed by both companies. Evidence indicated that she had performed her duty dishonestly in order to obtain
Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} from duty as an approved investment consultant
responsible for the operation of the reporting entity?s orders or action, failure to give instructions or perform their duty, such person may also liable to the penalty under the said Acts.SEC Secretary-General
/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3
Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for two months, effective from February 9, 2015
therefore suspended {A} from his duty as the approved securities investment consultant for one month, effective from February 23, 2015.---------------* Clause 20(2) of the Notification of Capital Market
Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved capital market investment consultant for six months. Taking into account that he had
-application for approval as capital market personnel for 4 years. Taking into account that {A} had already been suspended from her duty as securities investment consultant by her employer for 3 months; the