persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned
notes, Thai government debt instruments, other debt instruments and ordinary shares; 2) the guideline for assessing liquidity for fund investment overseas be updated and 3) the scope of application of
assessing clients’ information; (3) Post-trading service providers, i.e., securities clearing house, securities depository centre, securities registrar, and the newly added derivatives clearing house; (4
, starting from 1 February 2018. In addition, since {B} is also a branch manager of the bank, she is prohibited from functioning as branch manager responsible for capital market business of any bank or
techniques for assessing and selecting quality auditors, guidance on communication with the auditors, as well as existing mechanism and tools that can promote effectiveness of audit committees’ duties, with
projects must be prepared and explored with a view to assessing the project?s commercial viability to create proper returns for investors. In this connection, interested authorities are welcomed to discuss
}, who also held a branch manager position, it was found that she had advised a client to invest in a fund without giving complete and sufficient information as well as warnings related to the fund that
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was