months and twelve days (while being suspended by KT Zmico Securities Co., Ltd.; she has still performed investment consultant duty as an investment units sales representative at another company until

investment in (i) the companies in such employer?s group and (ii) investment units of mutual funds and trust units of trust having main objective to invest in the assets of employer?s assets and the companies

units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units

delivered the same to clients as evidence. In addition, it was found that she deceitfully sold investment units of clients and revolved funds from other clients to return to clients in many other accounts

exploitation of this channel for the benefits of certain person or group of persons.Mr. Vorapol Socatiyanurak, SEC Secretary-General, said ?In establishing a retail fund, its investment units should be dispersed

, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her

investors about capital market products without complex features and products with high risks or complexity of all types. Ex., investment units of mutual funds for institutional investors or ultra-high net

Bangkok, March 12, 2013 ? The SEC is seeking public comment on proposed regulatory revisions to increase the numbers of intermediaries for the sale of investment units and investment advisors in the

SEC plans to revise rules on sale conducts for investment units after a survey of 55 branches of 18 commercial banks in Bangkok area indicated necessity for improvement particularly in relation to