): According to the report of her employer, Siam City Securities Co., Ltd., filed with the SEC, Preeyanuch was found to have committed severe wrongdoings when holding the position of branch manager and marketing

. 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

Investment and Giving Investment Advice dated January 18, 2012. In this regard, the SEC suspended {A} for six months. Taking into account that she has already been suspended by her employer for one month and

her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November

manager must make use of employee?s saving and employer?s contribution in the specified order. First, fund manager must invest or seek benefits under such employee?s previous investment policy.  If the fund

guidelines. Taking into account that she has already been suspended by her employer for three months, the suspension imposed by the SEC is deemed to have been served.  

she has already been suspended by her employer for three months, the suspension imposed by the SEC is deemed to have been served.  

imposed by {A}'s former employer, the SEC will not consider his application for approval as capital market personnel for one year eleven months and fourteen days, starting from December 20, 2013 

another person's trading account and arranging financial matter for such investor. As the employer has already put her on a three-month suspension, the SEC is suspending her for the remaining three months