suspended {A} for one-month from his duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by his employer for fifteen days, the suspension imposed
behavior.On {A} case, her employer reported to the SEC that {A} failed to meet minimum educational requirements for her job. The SEC ' s further probe showed that she also failed to meet the SEC's requirements
for a period of two months. Taking into account that he has already been suspended by his employer for one month and fifteen days, the suspension imposed by the SEC shall be fifteen days, effective
management of the Office. (6) Prescription of rules and practices for recording the rationale to demonstrate that the investment decision of the fund manager has been done appropriately and effectively e.g
her employer for six months. The SEC thus ordered another two months? suspension to complete the term. AEC Securities: (10) {K}, capital market investment consultant and investment planner, is
fund manager to manager in the case where the private fund management company is a limited company or public limited company under clause 2 (6) of Ministerial regulations No. 15 (B.E. 2543) in accordance
the position of private fund manager to manager in the case where the private fund management company is a limited company or public limited company under clause 2 (6) of Ministerial regulations No. 15
employer or; (2) Any company which management company or employer, as the case maybe, holds shares from ten percents of total shares sold of such company; “Fund manager” means any natural person which
authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer