orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such

Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate

. DIRECTORS, SENIOR MANAGEMENT AND EMPLOYEES ..................................... 12 XI. MAJOR SHAREHOLDERS AND RELATED PARTY TRANSACTIONS ..................... 12 XII. INTERESTS OF EXPERTS AND COUNSEL

Filing of the Registration Statement, Registration, and Other Applications when the application and the evidentiary documentation are accurate and complete in accordance with the Licensing Manual for the

our youngsters for investment experts and strongly believed that members of the winning team will become outstanding analysts or investment experts in the future,? said Pisit Jeungpraditphan, the

who is responsible for financial statements. 2.4 The board of directors are knowledgeable for the company business and have expertise beneficial to the company or can seek advices from experts in a

international experts including Mr. Paul Chahine from Luxembourg Stock Exchange, Mr. Eugene Wong from Sustainable Finance Institute Asia (SFIA), Ms. Shirley Lui from S&P Global Ratings, and Ms. Sirinart

, including experts and experienced persons in the bond market, namely (1) SEC Secretary-General, (2) Mrs. Pornanong Budsaratragoon, (3) Mrs. Pattera Dilokrungthirapop, (4) Mr. Arsa Indaravijaya, and (5) Mr

experts at seminar forums, increase the opportunity to build networks with public and private sectors, promote tourism and the economy, including the international conference and exhibition industry, and

against the Securities Law. The Civil Sanction Committee, comprising Attorney-General as Chairman and capital market experts as members, considers whether a civil sanction is an appropriate legal proceeding