Nutvara Seangwarin (3) Mr.Supoth Piansiri (4) Mr.Sirichai Chananam, jointly failed to perform their duties with dishonest intent causing damage to NMG and jointly committed or permitted another person to
Seangwarin (3) Mr.Supoth Piansiri (4) Mr.Sirichai Chananam, jointly failed to perform their duties with dishonest intent causing damage to NMG and jointly committed or permitted another person to make false
December 2014, it was after the SEC’s probe had revealed such wrongdoing. In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012
2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice
matter which form is, for providing services, whether all or some parts, to clients as permitted by its license and being which one of the following offices: (1) domestic branch office; (2) oversea branch
intermediary. “branch office” means a branch office of an intermediary, no matter which form is, for providing services, whether all or some parts, to clients as permitted by its license and being which one of
intermediary, no matter which form is, for providing services, whether all or some parts, to clients as permitted by its license and being which one of the following offices: (1) domestic branch office; (2
big retail investors ; “mutual fund for institutional investor” means a mutual fund whose establishment has been approved by the SEC Office prior to the date on which this Notification comes into force