that involved a conflict of interest with the bond issuer. Specifically, BBL maintained a shareholding exceeding 5 percent of the issuer’s total voting rights via a company whose directors concurrently

Mrs.Chanyarat Sangtong Between 20 August, 2015 to 11 December, 2015, Mrs.Chanyarat Sangtong who involved in the UOB Freehold Eight Thonglor property fund (“UOB8TF”) bought UOB8TF Units by using

”)’s assets, failed to perform duties responsibly, carefully and honestly, seeked unlawful gain for himself or other persons causing damage to the company, and committed or permitting wrongful acts

restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money

services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering legislations, or where the know-your-client

/suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering

individuals who serve as their directors, executives or major shareholders as it is part of the mechanism preventing persons involved in fraudulent, deceptive or corrupt activities from holding managerial or

http://www.sec.or.th/ mailto:aunchisa@sec.or.th mailto:archari@sec.or.th aunchisa Line aunchisa Line aunchisa Typewriter 2018 2 I. Foreword 1.1 The SEC is committed to promoting digital innovation. With

manner to allow members and involved persons to be well informed of possible effects and risks from the operation of the business; Part 3 Subject Matters of this Notification Clause 4 This Notification

Asset Management Co., Ltd.), has committed an offense with dishonest intent and obtained unlawful gains for himself or another person by authorizing a mutual fund of Solaris Asset Management Co., Ltd. to