. (Translation) 2 Clause 3. An auditor of a securities company for each accounting period shall be an auditor approved by the Office in accordance with the notification of the Office regarding approval of auditors
order 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 securities
;) accordance with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board and failed to manage PCASH strictly in accordance with the approved mutual fund
specified in the notification of the Securities and Exchange Commission. In this regard, ERX failed to check the allocated foreign exchange limit prior to executing transactions. Accordingly, ERX conducted
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 30. The auditor under Section 28 shall be a certified public auditor approved by the SEC Office and shall not be a shareholder, a beneficial
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication
in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557. The SEC therefore suspended {A} from his duty as the approved capital