decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his

Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the

__________________________ Clause 9 The fact sheet shall be in the first section of the prospectus presented via Form 123-1 attached hereto and shall contain details according to the instruction of information disclosure

สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (“สำนักงาน ก.ล.ต.”) นั้น เพื่อให้ผู้ประกอบธุรกิจมีความเข้าใจที่ตรงกันเกี่ยวกับการนำเสนอดัชนีชี้วัด (“benchmark”) ต่าง

กองทุนมุ่งหวังที่จะสร้างผลตอบแทนที่เป็นบวกภายในระยะเวลาเท่าใดด้วย 2. การเปิดเผย benchmark การเปิดเผย benchmark ของกองทุนเพื่อใช้ในการเปรียบเทียบผลการดำเนินงาน

interim financial statements to the SEC by 15 September 2025. CHARAN was also required to disclose these financial statements to the public via SETLink within the same deadline. The instruction was issued

appoint new directors to fill vacancies while serving as IFEC director and chief executive officer. In addition, the SEC investigation found that Mr. A disobeyed the board of directors’ instruction and

’ instruction and refused to facilitate a meeting venue for the board of directors’ meeting. Such misconduct was therefore deemed as the failure to perform his duties as a listed-company director and executive

manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions

her client regularly as well as reported to her client on the summary of profit and loss on a monthly basis. On March 12, 2012, {A} made trading decisions without the client's instruction and payment