trading. The aforesaid actions of Shine were in contravention of Sections 243(1), (2) and 244 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the Penal Code
Company Limited Factsheet Information as of XX XX XXXX ABCD Mutual Fund Unit Class SRI Fund Class code Type of mutual fund / Peer group of mutual funds Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile
representative in Thailand Information as of XX XX XXXX Name of the ARFP Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and
Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and strategy Calendar year performance and benchmarks over the past
local representative in Thailand Information as of XX XX XXXX Name of the ASEAN CIS Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation
were induced to transfer their money to the company's account while the company also obtained benefits from trading fees which are deemed undertaking derivatives business without license in contravention
above.In this regard, his offenses are deemed market misconduct related to securities trading under the Securities Law, and may be deemed an asset misappropriation under the Penal Code which is a predicate
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
) ................................................................................................................................................................ 2. Type of the Applicant: Juristic person established under Thai Law Limited company Public limited company Stock Exchange of Thailand Over-the-counter trading center Association related
. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing