where the company may be liable to an offense related to client assets, which may cause damage to the clients, pursuant to the resolution of the SEC Board. Zipmex submitted clarifications on the matters
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
ensure appropriate redemption for unitholders when the assets regain quality or become tradable under normal circumstances, as follows:- Providing AMCs with additional options to make payments to
Disposal of Assets Transaction, and Acquisition of Assets Transaction To : Director and Manager The Stock Exchange of Thailand Enclosure Information Memorandum on Acquisition of Assets (Schedule (1)) of
for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism dated 1 March 2007 ( Notification No. SorThor/Nor/Yor/Khor. 3/2550
for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism dated 1 March 2007 (Notification No. SorThor/Nor/Yor/Khor. 3/2550
Commission 10/2540 17/02/1997 Report/Form (Notification of Securities and Exchange Commission) Application for Establishment of Service Center for Invesment Management Business 3. Notification of
and Procedures for Establishment and Management of Infrastructure Funds (Synopsis) 10/01/2011 16/01/2011 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi-Rangsit Road
SorThor/Nor/Dor/Khor 11/2551 Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies 28/04/2008 01/10/2008 Contact The