advised by the SEC, due to gross https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-secact.doc ACT-SEA1992-AMENDED.PDF shall be vacated upon: (1) death; (2) resignation; (3) [Section 22(3
inappropriateness for acting as capital market business personnel. Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure
. The shareholders are strongly advised to review the information and exercise their right to protect their interest, as well as to request information from the executives of EIC in order to have
SEC’s proceedings, and records or any other past demeanors which indicate inappropriateness to be personnel in the capital market business. Investors are strongly advised to immediately check mutual
advised to exercise discretion in making mutual fund purchases and should request purchase evidence at the point of sale, which must be generated by proper system to ensure completion of their purchase
investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being
subsidiary at the price with a discount not exceeding 10 percent of the valuation of investment monies recommended by the financial advisor from KT Zmico Securities Co., Ltd (financial advisor in an approved
March 31, 2019 which is 173,851,378.53) Please be advised accordingly Yours faithfully, Prasertsak Suwanpotipra Managing Director (Translation) (Additional disclosure) Information Memorandum Relating to
: Equal score to last year?s assessment due, in part, to little progress on regulatory reform over the past two years. In addition, the SEC and the Stock Exchange of Thailand (SET) were advised to enhance