Providing of Fund Management Services _____________ By virtue of Section 98(10) of the Securities and Exchange Commission Act B.E. 2535 (1992) and Section 139(4) of the Securities and Exchange Commission Act
and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) of the Securities and Exchange
transfer was prearranged, starting from Auracha's opening a trading account for her mother without declaring their relationship to the company and arranging for the transfer even though it was not her duty
the company and arranging for the transfer even though it was not her duty to do so and she was not the investment consultant in charge of such client?s account. Auracha later arranged for AEC back
frequency of board meetings, for which the minutes of meeting had been submitted to the SEC competent officers during the inspections, but the meetings did not actually take place; (3) had lacked fit and
virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) , which contains certain provisions relating to restriction of rights and liberties of persons which Section 29 in conjunction with Section 33
Section 18 of the Derivatives Act B.E. 2546 (2003), which contains certain provisions relating to restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34
Derivatives Act B.E. 2546 (2003); (c) an offence regarding performing an audit work which is not in compliance with the specified law or making false audit reports such as offences under Section 287 of the
for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) and Section 139(4) of the Securities and Exchange