Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21, 2000, clause 14 (3) (as amended) Suspension from duty for 6 months, starting January
) Suspension from duty starting October 20, 2004 until October 19, 2005 Miss Thiwaporn Eiamsa-ArdMaking decisions to buy and sell securities for clients
Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21, 2000, clause 14 (13) (as amended) Suspension from duty for 1 year and 6 months
' securities trading orders. All of them admitted that the unrecorded orders were taken via mobile phone. The SEC therefore suspended them from duty as approved investment consultant for one month. For {F} and
กรรมการมีหน้าที่ดูแลให้กรรมการทุกคนและผู้บริหารปฏิบัติหน้าที่ด้วยความรับผิดชอบ ระมัดระวัง (duty of care) และซื่อสัตย์สุจริตต่อองค์กร (duty of loyalty) และดูแลให้การดำเนินงานเป็นไปตามกฎหมาย ข้อบังคับ และมติ
denying or limiting the securities company’s responsibility to the clients’ assets, and in case of loss of or damage to clients’ assets resulted from omission of duties by the securities company, there
securities company’s responsibility to the clients’ assets, and in case of loss of or damage to clients’ assets resulted from omission of duties by the securities company, there shall be a statement requiring
Suspension from duty for 6 months starting October 1, 2004 until March 31, 2005 2. Miss Yuvadee Kulvanichpisit3. Mr. Kanpol Marthong
. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading