Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval
involving connected parties to the scheme will be subject to unitholders? approval, resembling practices of listed companies. A prominent feature of REIT is that any company with experience in real estate
market*, the SEC therefore set the period for acceptance of his re-application for approval as capital market personnel for 15 days. Having considered that {A} had already been suspended by his employer
behalf of the client. In this regard, Theera and Nongun?s actions were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for
Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duties of Analyzing Investment and Giving
without any objection. Meanwhile, in the latter period, he sought approval from the clients on the broad pre-determined price ranges of derivatives and securities. Accordingly, he could immediately execute
-compliance with standards of conduct of investor contacts in violation of Clause 14(7) of the SEC Office Notification No.SorKhor. 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14
shortcomings as well as the potential impacts on the bondholders both in cases of approval and decline of approval for the above matters with respective supporting reasons and the opinions of the bondholders
investors in accordance with the Notification of the Capital Market Supervisory Board regarding Application for and Approval of Public Offering of Newly Issued Debt Securities and the Notification of the
keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the Office, and arrange to