investment.  The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge

with Section 83 of the Penal Code and Section 315 of the SEA (as the case may be). Moreover, Vijchu’s acts in particular, are deemed failure to perform duties as a private fund manager with honesty and

material particular, providing an investment analysis or a forward looking statement based on false or distorted data. It is imperative that the persons who give information or opinions to the public be

issued by or transaction with any particular financial institutions with non-investment grade rating or without credit rating. Such five percent of net asset value, when combined with other assets with non

Project has been initiated under the SEC?s strategic plans aiming to reach out to targeted business sectors, in particular to enable access to capital market for science and creative-based businesses in

enforcement, for better understanding of stakeholders and target groups. Rulemaking is a tangible start for all parties involved in any particular matter to self-adjust in order to achieve respective goals, and

through the use of client accounts; while {D} was found using a client account to trade securities for her own benefits. In particular, their actions had been aided and abetted by {E} , who then was the

in supporting the Thai economy. In particular, the strategic focus on establishing tangible Quality Demand will serve as a key foundation for cultivating a long-term investment culture. This includes

Office to ensure compliance with this Notification, require derivatives clearing houses to submit to the SEC Office reports or any particular documents periodically or from time to time, within a time

and answers about the channels for investors to receive additional information about the mutual fund. Clause 12 The particular on risk factors of the mutual fund shall disclose information about the