) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private
damage to IFEC. The public prosecutor issued a non-prosecution order. The case was deemed final. SEC Act S.307 311 313 in conjunction with Section 83 of the Penal Code Criminal Complaint Filed with an
timing such as: 1. Issue monthly report to show the flow and the balance of assets in each month; 2. Issue daily report in the case of client’s order to transfer money or assets to other person or in the
in each month; 2. Issue daily report in the case of client’s order to transfer money or assets to other person or in the case of money or assets transferring for purposes other than those provided in 1
another person. Then, the shares were resold to ZMICO at 19.75 baht per share which was not the normal market price. Later, the public prosecutor issued a prosecution order and filed a lawsuit against
as metal scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall
units of foreign investment scheme, a securities company shall comply with the following requirements: (1) receiving sale, repurchase or redemption order during hours and days as specified in offering
prescribes that trust managers must be approved by the Office of the Securities and Exchange Commission and in order to determine the consideration period to be in line with Section 5 of the Securities and