violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
information or as liaison office within the scope of this Notification. “auditor” means an auditor approved by the SEC Office under the Notification of the Office of the Securities and Exchange Commission
intermediary established in foreign jurisdiction for providing services of information or as liaison office within the scope of this Notification. “auditor” means an auditor approved by the SEC Office under the
services of information or as liaison office within the scope of this Notification. “auditor” means an auditor approved by the SEC Office under the Notification of the Office of the Securities and Exchange
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
Authorized Director of Digital Asset Business Operator