. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31
own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she
transferred the clients’ money to the savings accounts opened under the names of other persons instead. She arranged for investment unit purchase transactions of other clients, with the value equivalent to
therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6
burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for
mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for