} proposed his clients the portfolio investment in advance and the clients accepted all transactions proposed. In addition, the recorded conversation showed that {A} specified securities, prices and amount to

prior to the specified period will be subject to tax penalty. The client insisted on selling those units, reasoning that he did not claim LTF tax benefits from this portion. {A}, however, did not inform

-?assigning rates for instruments or businesses for the purpose of regional or international scale comparison or for those specified to be credit rated under SEC regulations. ?We expect to see more fund

, in accordance with the rules and procedures specified in the terms and conditions;         (3) Approving related actions concerning the bond series, with details as follows:         - Granting an

Asset Management Co., Ltd. failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by failing to invest in debt instruments of which

of the Stock Exchange of Thailand within the period specified in the notification as follows : (1) the reviewed financial statements for Q3/2019 (2) the interim management discussion and analysis (“MD

and submit the financial reports through the transmission system within the period specified in the notification as follows : (1) the reviewed financial statements for Q2/2020 (2) MD&A of Q2/2020 (3

offer for sale, the SEC Office shall have the authority to: (1) order the approved foreign entity, its directors or executives to clarify or disclose additional information within a specified period and

of conduct specified by the SEC Office, or by the Association of Investment Management Companies with approval of the SEC Office; (3) the professional ethics and standards specified by the Association

of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is