evidences, it is reasonable to believe that Mr. Suphan Sethapanich has obtained benefits from selling the bills of exchange (B/E). He, therefore, committed an offense with dishonest intent and obtained

of conduct. 1) In case of {A}: the SEC obtained from Kim Eng Securities (Thailand) Plc. a report on its investigation in response to a complaint lodged by a client. {A} admitted that during the year

-public information obtained while performing duty as {X1} advisor and president. With the referral from the Stock Exchange of Thailand, the SEC's probe found that on May 7, 2010 {A}, as the authorized

submitted a selling order for the first client?s investment units and deposited money obtained from the selling into a saving account she opened at Tisco Bank Plc., using the client?s signature that she had

have its shares held by the trust in the amount which enables the trust to pass extraordinary resolutions; 2. where the trust is unable to acquire the shares in the said company in the amount under 1

procedures as prescribed in Clause 19 as well; (d) the REIT manager has obtained an approval from the the SEC Office to offer for sale of newly issued units. In case the trust instrument specifies the plan for

of GLOW and will acquire the remaining share of 30.89% of GLOW through tender offer process in accordance with the conditions and requirements announced by the Office of The Securities and Exchange

Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office http://market.sec.or.th/public/idisc/en/Enforce Settlement

activities are liable to be an operation of digital asset exchange business under Section 3 of the Emergency Decree, for which XT .COM has not obtained a license, in violation of Section 26, and subject to

prevent mutual funds from being exploited for any other benefit than those which ought to be obtained from the investment. At present, the number of investment units held by any person or any associated