of any securities issuing company or securities company for 26 months, 9 months and 12 months, respectively. The banning period shall begin from the date when the offenders sign the letter of
when the offenders sign letters of consent, agreeing to comply with the civil sanctions imposed by the CSC. Otherwise, the SEC will submit the case to the public prosecutor for filing a lawsuit in the
jurisdictions to sign the MOU. Other securities regulators and stock exchanges of ASEAN jurisdictions may join the Framework by signing the Memorandum of Understanding on Expedited Review Framework for Secondary
savings in the fund, a 69.8% soar over year end 2010, which accounts for 4,889 million baht, or a surge of 96.3%. These figures showed a good sign as members paid attention to systematic long-term savings
} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was
keep their B3,013 million of benefits in the system accounted for a 11.3% and 20.9% surge of members and benefits, respectively, over year-end 2010. This is a good sign showing that members give priority
supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the securities company within thirty days as
offices such securities company shall submit the application together with document evidence showing the details of management plan and supervision of the operation of the full-service branch offices
management and supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the derivatives broker within