Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel
) Soliciting a client from the securities company he used to work for to open a trading account with Apple Wealth. He lied that the shares in the client's trading account at his former employer had been
depress agricultural and even industrial production during the first half of this year (4) the subsequent effects of the aforementioned factors on employment and household income, which would hinder private
shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable
work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable the company to select a person with knowledge (Unofficial
in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable the company to select a
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
from the change in defined benefit plan according to KBank’s employment policy which is not related to labor law, together with rising marketing expenses, our cost-to-income ratio stood at 45.02 percent
Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange
Securities (Thailand) terminated Panita?s employment and filed a lawsuit against her and the related persons.In the case of Nitchawan, her dishonest acts against a client?s assets involved using the client?s