for a period of two months. Taking into account that he has already been suspended by his employer for one month and fifteen days, the suspension imposed by the SEC shall  be fifteen days, effective

behavior.On {A} case, her employer reported to the SEC that {A} failed to meet minimum educational requirements for her job. The SEC ' s further probe showed that she also failed to meet the SEC's requirements

her employer, however, the suspension imposed by the SEC is deemed to have been served.  

via internet trading accounts of the clients. In case of {B}, the SEC found that he failed to record a large number of clients' securities trading orders. {B} admitted to his employer that he took those

already been suspended by her employer, however, the suspension imposed by the SEC is deemed to have been served.

suspended {A} for one-month from his duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by his employer for fifteen days, the suspension imposed

misappropriation of and interference with client assets. In addition, handling securities conversion for clients was beyond the scope of responsibilities assigned by her employer securities company. Sutthasinee?s

contact him via mobile phone instead. Due to such behaviors, the employer suspended Nattavut for one month, starting from July 2 to 31, 2007. The SEC imposed the same sanction, taking effect simultaneously

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

person by the account owner's name to conceal the fact and mislead the employer company that it was the account owner himself who sent the orders.  {D}, an investor contact of Globlex Securities Co., Ltd