investment consultants who were in charge of this client for two consecutive periods of time, aided or abetted {A} in trading on behalf of the client as the client was not keen on investment and allowed Tanya
reduction of annual fee for both appraisal company and lead appraiser; (3) Allowing the application for approval to be filed via electronic system (online), consolidating the current
have been repealed because the Notification on Capital Market Business Personnel has already prescribed rules on such matter; (3) Consolidating regulations concerning the same issues for
On 1 September 2020, SEC amended the regulations on the preparation of the annual registration statement (Form 56-1) and annual report (Form 56-2) by consolidating both forms into one called Form 56
failed to verify the details of the debt prior to consolidating these sorts of debts in its liabilities and filing an application for a business rehabilitation process. Considering that the 11 directors
; (3) Revising and consolidating 32 bond offering forms into 13; (4) Developing systems and revising the regulations on establishment and management of mutual funds and allowing filing of
submitted the client?s securities trading orders via the internet from the IP address of Krungsri Securities for a certain period of time. Wasana admitted and explained that her client was not keen on
Krungsri Securities for a certain period of time. {C} admitted and explained that her client was not keen on investment and asked her to take care of the trading account.{D} failed to perform her duty in