violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended {A} from his duty as the approved securities investment consultant for a month and 10 days
the SEC since 1993, Tipsuda has extensive experience in market and intermediaries supervisions and development, research and strategic planning. Moreover, she has had prominent roles in Capital Market
Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel
client's assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market
assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market investment
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
SHARE : Detail Content Market Data Enforcement Fundrasing Securities Issuing Companies Takeover Professionals Intermediaries Search-for-related-personnel Mutual Fund Report and
failure to perform duties with responsibility and due care as the capital market professional were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re