the aforementioned information learnt from her position of TUCC chief finance officer. Yongyuth and Vorapin?s actions were in violation of Section 241 which is subject to sanctions under Section 296 of
14, 2012. The sanctions followed the SEC findings that the said persons mismanaged T.U. Dome Residential Complex Property Fund (T.U. Dome) severely, causing substantial damage to the fund and the
public offering of securities without the effective registration statement and the draft prospectus from the SEC Office in violation of Section 65 and subject to sanctions under Section 276 of the
(issued by CIS Operator) [ ] 6. A document demonstrating that the investment policy and product restrictions of NRI CIS are in accordance with those specified by the Notification of the SEC Thailand related
or registration from the SEC, which is a violation of the Derivatives Act B.E. 2546 (2003), Section 16. The said violation is subject to sanctions under Section 125 of an imprisonment up to three years
Exchange Act B.E. 2535 (1992) (SEA). The findings previously led to the sanctions imposed on ING Funds, Maris and Burim. In this connection, the SEC further probed into the case and found that from January 5
loss. Their actions were in violation of Section 241, subject to sanctions under Section 296 of the Securities and Exchange Act B.E. 2535 (1992). On June 18, 2014, Yongyuth and Vorapin agreed to enter
of Clause 5(1), the foreign collective investment scheme shall: (1) be managed by a CIS operator who: (a) is under supervision of home regulator which has the authority to impose sanctions or to order
by CIS Operator ) [ ] 6. A document demonstrating that the investment policy and product restrictions of NRI CIS are in accordance with those specified by the Notification of the SEC Thailand relating