securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the
information and forward-looking statements were different from the information disclosed in the registration statement, the SEC today has received Mr. Sompoch?s confirmation that the information disclosed in
duties with honesty by disguising that trading decisions were made by client; and seeking benefits during performance of duties. Following the complaint lodged by client of KT ZIMICO Securities Company
Bangkok, February 13, 2015 ?Current regulations prescribe that a mutual fund must be dissolved if more than two-third of all the units sold were redeemed. The rationale behind the said regulations is
(“GLOBAL”) through the securities trading accounts of six persons and gained benefits from such transactions. The purchases were made in such a way that taking advantage of others by using non-public
”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the
(“UMI”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with