SEC Secretary-General Ruenvadee Suwanmongkol said: “Due to the current situation of the COVID-19 outbreak, SEC has issued this support measure to help personnel in the capital market business to
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
money to the company as originally intended by the client. Instead, he used the money for his own benefit. As a result, the client’s life insurance policy became ineffective and the client suffered
trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities
Rules on Personnel in the Capital Market Business
The Approval of Personnel in the Capital Market Business
The Approval of Personnel in the Capital Market Business
Rules on Personnel in the Capital Market Business
benefits from investors by abusing their duty performance no matter with or without clients? consent, and must not ask for or accept any special benefit other than what is properly earned from the securities