. Earlier, he had arranged for ZMICO to invest in shares of a listed company at the price not exceeding 20 baht per share which was very much higher than the market price at that time. He subsequently

a fine on him in the amount of 5,420,324 baht.In addition, Sermkhun did not file with the SEC the reports on changes of his CMO shareholding within the specified period of time despite the fact that

specific features of trigger funds. For example, fund intermediaries must strictly clarify that the trigger point is not a guarantee of returns, and that unit redemption ahead of the target date set in the

extraordinary general meeting no. 1/2013 on May 30, 2013. Nevertheless, the company?s independent financial advisor (IFA) recommends the shareholders not approve this transaction, reasoning that it is not

decision, for example, maturity date, type of fund, investment policy, risk factors and performance. For advertisement on group of mutual funds where it is not practical to provide all significant

the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk

operators and disseminate information on benefits of the Thai capital market to be seen as a source for fund raising which is not less important and attractive than loans from financial institutions. This

reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 3/2558 Re: Provisions relating to Offer for Sale of Shares Issued by Foreign Company Whose Shares Are Not Traded on Foreign

concerning the connected transactions B.E.2546 , which the operations are categorized as Provision or receipt of financial assistance /transaction, it is not…………………… transaction, it is not exceed Baht 100

3 February 2020 respectively due to the Company and the Independent Financial Advisor are still preparing significant information and documents resulting that information and documents will not be