asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1) Be independent from the asset management
According to the findings of the SEC’s investigation, the four persons, namely (1) Miss Duangkamol Chotana, (2) Miss Nutwara Saengwarin, (3) Mr. Supoth Piansiri, and (4) Mr. Sirichai Chananam – at
Bill Trade Co.,Ltd. Between 10 February and 23 April 2003, Bill Trade Co.,Ltd. with other alleged persons operated securities brokerage businesses, soliciting clients to invest in securities listed
Bowen Reece Co., Ltd. Between August 2001 and 22 May 2003, Bowen Reece Co., Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in
Harvey Dunbar Co., Ltd. Between August 2001 and 22 May 2003, Harvey Dunbar Co., Ltd. with other alleged persons operated securities brokerage business solicited foreign clients to invest in
Desktop Marketing Co.,Ltd. Between August 2001 and 22 May 2003, Desktop Marketing Co.,Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in
Logical Solution Co., Ltd. Between August 2001 and 22 May 2003, Logical Solution Co., Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in
Mr. Graham Leslie Arthur Peveller Between August 2001 and 22 May 2003, Mr. Graham Leslie Arthur Peveller with other alleged persons operated securities brokerage business and solicited foreign
Mr. Matthew Stanley Pearsall Between August 2001 and 22 May 2003, Mr. Matthew Stanley Pearsall with other alleged persons operated securities brokerage business and solicited foreign clients to
Oversea Bullion International Trading Company Oversea Bullion International Trading Company conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of