facilitate public access to mutual fund investment with a small amount of money and have the investment funds managed by the professionals, but also build disciplined investing habits for consistent and

for ten years, starting from June 23, 2011.As Chalerm was penalized while he acted as a branch manager, he was deemed having prohibited characteristics for securities and derivative business personnel

companies and departments. These members should be disciplined to save money and must know have knowledge have to invest affectively. Also, fund committees must have enough knowledge and understanding to

provision, ensuring that the clients agree to pay a fine if the securities companies are penalized by the SET or the clearing house due to the clients’ failure to comply with regulations related to short

defendant, for his contravention of Section 307, 311, 312(2) and 313 of the SEA.  Defendant?s wrongful acts involved in several distinct and different offences and shall be penalized based on counts in

damage client's assets. In case of {C}, the SEC received a report from securities company that had disciplined {C} after findings indicated that he had sent inappropriate trading orders in a manner that

suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already penalized Prapai by prohibiting her from

penalized {B} by transferring her to perform duties unrelated to provision of services for sales of securities products from 25 December 2018 to 16 April 2020, which exceeded the penalty period imposed by

. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for

. Other employees involved in this incident were also disciplined by TMB for failing to comply with bank’s operating procedures.  In considering the appropriate administrative sanction, SEC takes into