scheme and prospectus or approved by the resolution from unitholders in case of Clause 15 or obtain an approval from mutual fund supervisor, or consent from clients or provident fund committee, as the case
. “ advertisement ” means an action which makes publicly known about information of [i] intermediary ’s businesses or services, [ii] capital market products or [iii] selling capital market products by using
Notification of the Securities and Exchange Commission No. KorJor. 3/2557 Re: Rules on Units of Foreign Collective Investment Scheme Exempted from the Provisions of Public Offering for Sale of
emissions through the Low Emission Support Scheme (LESS) and the Thailand Voluntary Emission Reduction Program (T-VER), which are part of Thailand’s initiative to support voluntary emission reduction. The
Supervisory Board No. Tor Jor. 4/2561 Re: Provisions relating to Offering for Sale of Units of Foreign Collective Investment Scheme ____________________ By virtue of Section 16/6, Section 67 and Section 69 of
Ms. Sopana Janebeorvorn During November 2009 to March 2011, Mrs. Vachala Pisitsak colluded with Ms. Sopana Janeborvorn and Phra Suthep Arpassaro (Panpai) in committing dishonest acts by using
Mrs. Vachala Pisitsak During November 2009 to March 2011, Mrs. Vachala Pisitsak colluded with Ms. Sopana Janeborvorn and Phra Suthep Arpassaro (Panpai) in committing dishonest acts by using
using information about the funds’ investment plans to trade securities for his personal or other persons’ gains (front running). The criminal case is closed because the alleged offender died. SEC Act
Bangkok, May 21, 2014 - The SEC revealed that the Settlement Committee imposed a total fine of 9,670,432.91 baht on {A} and {B} for using inside information to sell {X1} Company shares.With the