sanctions, namely: (1) a civil penalty; (2) a compensation at an equal amount to the benefit received or should have been received from committing an offence; (3) a suspension of securities or derivatives
SEC has imposed a 40-day-suspension on {A} as a securities investment consultant, and a two-month suspension on {B} as a securities investment consultant and investment planner. In addition, {B} was
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
, the suspension thus ends concurrently. In this regard, the SEC will not accept her future application for approval as capital market business personnel, starting from 31 March 2021 until the original
received or should have been received, reimbursement of investigative expenses incurred by the SEC, suspension of trading in securities or derivatives contracts, and bar from serving as a director or
, reimbursement of investigative expenses incurred by the SEC, suspension of trading in securities or derivatives contracts, and bar from serving as a director or executive in a securities issuing company or a
of COVID-19 caused a significant disruption to the Group's business, resulting in temporary boutique closures around the world, as well as a temporary suspension in manufacturing activity and temporary
the cause of such suspension is the same as of the SEC's suspension or revocation of the approval as auditor in the capital market; (5) being suspended or revoked approval as auditor in the capital
approval.7 Examination not required but must complete a full course or a refresher course for renewal of approval. 7 9 In case of applying for work recontinuation after completing suspension term due to