the SEC since 1993, Tipsuda has extensive experience in market and intermediaries supervisions and development, research and strategic planning. Moreover, she has had prominent roles in Capital Market
important are intangible assets impairments?” และ “เกษียณจนเจ๊ง ภัยซ่อนเร้นจากภาระผูกพันผลประโยชน์พนักงาน (How important of Employee Benefit Actuarial Valuation)” เพื่อพัฒนาองค์ความรู้และร่วมแลกเปลี่ยน
services and they will proactively contribute to the campaign by, for example, screening and selecting prominent mutual funds suitable for long-term saving and investing, providing consultation and advice on
employee in the portion of the employee’s saving separately from the employer’s saving, specifying the employer’s duty to notify the fund manager of an employee’s membership termination or the employee’s
follows: (1) During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She
investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he
was an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client's complaint and inspection report of Globlex Securities Company Limited, the SEC further
an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client?s complaint and inspection report of Globlex Securities Company Limited, the SEC further probed
of client without order, and using the client's account for his own benefits. He was an employee of Maybank Kim Eng Securities (Thailand) Plc, while the misconduct occurred. Following the client's
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company