Baht 100.55 million was caused by (i) the settlement of a dispute in a lawsuit with one hirer in the amount of Baht 94.83 million in order to stop the risk which may have a negative impact to the
employer/ the fund committee] shall file with the registrar an application for registration of the fund together with an application for making payment of pension plan’s proceeds to the fund and document
her employer for six months. The SEC thus ordered another two months? suspension to complete the term. AEC Securities: (10) {K}, capital market investment consultant and investment planner, is
. Facilitating payments out of the fund: e.g., allowing the registrar to order dissolution of the fund including a withdrawal of one employer from a pooled fund, allowing the fund manager to make a payment to an
Plc. (LH) holds 100% shares, as “Employee” 2. Siam Retail Development Co., Ltd. (SRD) as “Employer” Connected parties Mr. Anant Asavabhokhin is a major shareholder of LH, holding 24% shares, and also a
securities investment consultant for one month. Having considered that she had already been subject to one-month suspension imposed by her employer, the suspension imposed by the SEC is deemed to have been
*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Having considered that {A} had already been suspended by her employer for a month, the
authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer
. Taking into account that {A} had already been suspended by his employer for a month 7 days, however, the suspension imposed by the SEC shall remain 4 months 23 days, effective from December 11, 2014.Note
capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Taking into account that {A} had already been suspended by her employer; the