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
accepted, starting from December 7, 2012. Earlier, he had submitted a letter to the SEC for termination of his status as the SEC approved auditor, effective March 30, 2012.
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
Board has already approved guidelines for accommodating the integration of the two futures markets, AFET and TFEX, which will generate further benefits to the country in terms of economy of scale. The
behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved
*. The SEC, therefore, suspended Acting Subbieutant Saroj from his duty as the approved securities investment consultant for a year and 2 months. Having considered that {A} had already been suspended by
companies investing in previously approved instruments with maturity dates ? e.g., promissory notes issued by commercial banks or finance companies, bills of exchange issued by commercial banks and repurchase