Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch
misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by
rectify and re-submit such financial statements to the SEC Office on the same day as well. The SEC has granted PACE the second postponement for submitting the clarification and the rectified financial
the criminal complaint on the same offense.Information contained in this news release is as of the aforementioned release date. For those who wish to see current status of the matter, please go to
the near future. ?The SEC has placed importance and played active roles in MCMC forum and I am very pleased that other Mekong jurisdictions have done the same. We agreed that the meeting will be held
shares at the acquired price on the same trading day was not new and was taken into the Sub-Committee?s consideration. The Sub-Committee?s opinion therefore remains unchanged. In addition, the fact that
received benefits from such trading activities were that same group of persons. Kajonchai, who functioned as an investor contact (marketing officer) for KGI Securities Plc., assisted such trading activities
a registration statement previously filed by this applicant. However, the SEC found the same deficiencies on issues such as related party transactions and unclear separation of businesses the
statements of AI for the same reason.Later, AIE requested for an extension of deadline to submit the rectified 2014 financial statements, previously set to be submitted by May 27, 2015. The company reasoned