to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be

the company and arranging for the transfer even though it was not her duty to do so and she was not the investment consultant in charge of such client?s account. Auracha later arranged for AEC back

proceeding, starting from 6 October 2016.In this case, the ban was not resulted from a criminal complaint initiated directly by the SEC, but from a criminal charge of the public prosecutor. The SEC had

, they shall face an additional charge.________________________________

are available free of charge.  _____________________________

strongly advised to thoroughly check and make sure that all receipts or evidence of payment are issued by the companies in charge. In case of making an agreement to buy an investment product outside the

Division comprises Intermediaries Supervision and Development Department, Intermediaries Inspection Department and Licensing Department.    2. Deputy Secretary-General Vasant Thienhom is in charge of the

? will be held at the Ballroom, Queen Sirikit National Convention Center on September 15, 2014 from 08.30 ? 18.00 hrs. To get further details of the event and registration form free of charge, please visit

License. In any case, business operators who have already obtained PF License may request Derivatives Fund Manager License, free of charge.    _____________________

insurance company in charge. SEC has considered that Sarunya, whose license as life insurance broker and agent had been revoked by OIC for performing duties dishonestly, was deemed to have a prohibited