manager, failed to supervise his subordinates ({B}, {C} and {E}) in performing their duties causing the aforesaid wrongdoings in violation of law on securities and exchange and relevant rules; classified as

the next two years from June 16, 2011. The order has been issued after the SEC?s finding indicated his serious audit mistake and failure to comply with the auditing standards  in performing the audit of

explanation to the SEC accordingly.       In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities

the transactions and permitted {A} to continue trading in attempt to recover loss incurred in the trading account.In performing their duties, investment consultants can send trading orders only when

of Clause 20(3) of the aforesaid notification. The SEC therefore publicly disclosed {B}' s inappropriate behavior in performing duties as an investment consultant and will keep a demerit record for

authorization that {A} had obtained  to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants  can send trading orders only when obtaining instructions from

and submit financial statements and reports on its financial position and operating results to the SEC Office; (3) an issuing company whose registration statement and draft prospectus have been filed

failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited Prapai from performing duties as branch manager in charge of capital market business and

Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. The SEC therefore suspended {B} from performing the duty of

Microsoft Word - Eng-SET Q2-17 unaudited Ref: FASET 05/60 July 31, 2017 Subject: Report the reviewed operating result for the second quarter and unaudited for the six- month period ended June 30