Investment and Giving Investment Advice dated January 18, 2012 (Notification No. TorLorThor. 3/2555). Accordingly, the SEC suspended {A} for three months from his duty as the approved capital investment
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
bond liquidity, investors’ knowledge on debt securities, intermediaries and market professionals’ duty performance, the development of shared infrastructures and market database, and high-risk debt
his duty as the approved capital market investment consultant for 8 months. Taking into account that Atthapol had already been suspended by his employer for 15 days; the suspension imposed by the SEC
protecting investors’ rights. For example, having personnel readiness and work systems related to duty performance and establishing preventive measures and effective handling of conflicts of interest
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and
Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months
participates in determining credit ratings, including an employee involved in a credit rating committee. garding the creditworthiness of an entity or obligation, expressed using an established and defined
undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Securities and Exchange