, as well as a bar from serving as a director or executive, at the maximum statutory penalties.In addition, the SEC has referred this matter to the Anti-Money Laundering Office (AMLO) for further
committee inform their interests in the matter under consideration; (2) the trust manager shall ensure that the members of the investment committee with interests in the matter under consideration, whether
Notification, but there is a certain fact indicating that the purpose or the substance of such offering is to avoid any provision of the law on Securities and Exchange1 or this Notification; (2) the offer for
ยังคงต้องถือว่าเป็นการลงทุนในรูปแบบของกองทุนรวม ทั้งนี้ เพราะ MF และ PF มี key substance ที่เหมือนกัน คือ ต่างก็เป็น investment management ดังนั้น การแบ่งแยก MF และ PF อาจต้องใช้ form เป็นสำคัญ ไม่
aspects of sustainable development which are 1) CG in substance: building up sound business performance with sustainability and trustworthiness by emphasizing on actual practice such as encouraging
dated 6 September 2013, and other relevant rules. The SEC Office hereby recommends the name of the contact officer in this matter: Ms Lalida Chuayrak, Tel: 0-2263-6255. Please kindly be informed and
matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept