of violation.  The SEC urges anyone who is affected by the damage incurred from making an investment with this group of persons to provide the ECD Police with additional information at 0-2237-1199 for

securities business operation can give additional information to the ECD Police at 0-2237-1199.Investors are strongly advised to consult the License Check page at www.sec.or.th to verify the status of

investment units sold.? Asset management company must inform unitholders of information relevant to the conversion before the meeting date. The information provided also must include a comparison of the Type

disclosure of false information in accordance with Clause 4(3) of the SEC Notification No. KorChor 8/2553 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated April 23

information of Montri Fund scheme and fund prospectus, the SEC probed into the case and found that he inaccurately specified the age of a building purchased by Montri Fund which was, in fact, many years older

system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders

documents introducing the company through email or facsimile. The documents consist of (1) investment information (2) calculation methods for returns and (3) relevant information on to mislead investors that

investigation that led to the complaint filing had stemmed from a referral from the Stock Exchange of Thailand (SET) and the SEC?s data compilation from different sources, including the information gathered from

and providing mentors. Five areas in the curriculum comprise short-term financial management, personal information management, financial planning, investment product selection as well as financial

’ representatives. The bondholders are, therefore, encouraged to thoroughly review the information and exercise their rights to protect their own interests. They should also make necessary inquiries to the