and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in
capital market*, the SEC therefore suspended {A} from his duty as the approved securities investment consultant for one year and six months. Having considered that {A} had already been suspended by his
therefore suspended {A} from his duty as the approved securities investment consultant for one month, effective from February 23, 2015.---------------* Clause 20(2) of the Notification of Capital Market
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the
Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board (CMSB) recently approved revision of regulations to expand list of investment products denominated foreign currencies
. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
investment units, there should be no restrictions on types of investors resulting in an insufficient distribution of the investment units. Related Regulations Notification of the Capital Market Supervisory
investment units, there should be no restrictions on types of investors resulting in an insufficient distribution of the investment units. Related Regulations Notification of the Capital Market Supervisory