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
, 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
}, 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
Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three other securities investment consultants at Central Chaengwattana branch, namely {B}, {C} and {D} (then
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
for a period of four months and 40 days, respectively.In the case of {A}, who was a securities investment consultant and a branch manager at KASIKORNBANK Public Company Limited (KBANK) while committing
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in