account owner's knowledge to prevent potential damage. Recently, the SEC has punished offenders who caused damage to investors in several cases. In any event that an investor truly wishes to have a person
. Previously, he was warned by the SEC and punished by Bualuang Securities Plc. as he failed to record his advice and clients' securities trading orders in the same year for three occasions. However, he kept
No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry dated September 15, 2010. Moreover, he was earlier warned and punished by his employer Bualuang
investment consultant for three months. Since he has already been subject to a three-month suspension imposed by his employer, the SEC considered that he has already been punished by the SEC ' s order. For {E
action against or being punished in the past according to the management in the manner of deception, defraud or dishonest to properties as prescribed in Clause 25; (3) prohibited characteristic of Group 3
respective regulations, the SEC Office may not proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished appropriately. The provision under the
proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished appropriately. The provision under Paragraph 1 shall not be applicable to the case
persons in accordance with their respective regulations, the SEC Office may not proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished
if the SEC Office deems that such persons have already been punished appropriately. The provision under the first paragraph shall not be applicable to the case that Stock Exchange or the derivatives