contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client

Dissemination of Information relating to Offer for Sale of Units of Real Estate Investment Trust prior to the Effective Date of a Registration Statement and Draft Prospectus

applicant. In case the application is submitted by an authorized person and the evidentiary documentation is incorrect or incomplete, the authorized person must show a written authorization from the applicant

party serving as the trust manager under the trust instrument; “financial advisor” means a financial advisor in the list approved by the SEC Office; “registration statement” means the registration

consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients

Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions

internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in

1 แบบแสดงรายการขอ้มลูการเสนอขายหลักทรัพย ์ (แบบ 69-ASEAN) แบบแสดงรายการขอ้มลูการเสนอขายหลักทรัพย ์ กรณีบรษัิทไทยเสนอขายหลักทรัพยใ์นไทยและประเทศกลุม่อาเซยีนพรอ้มกนัหรอืในเวลาใกลเ้คยีงกนั Registration

Solartron Public Company Limited Solartron Public Company Limited (“SOLAR”) prepared and submitted the inaccurate annual registration statement for the year 2015 (Form 56-1) to the SET and the SEC

Commission No. SorThor. 67/2543 Re: Rules for Registration of Marketing Officers dated 21 December 2000; (2) The Notification of the Office of the Securities and Exchange Commission No. SorThor. 10/2544 Re