to certain types of personnel; for instance, wealth advisor who gives advice on asset allocation and selects suitable securities for individual client, investment analyst, and fund manager, in
REIT trustee must be independent from REIT manager. For the participation in REITs related businesses, such as underwriting or financial advisory service, a Chinese wall to prevent conflicts of interest
management to seek the SEC approval for becoming a REIT manager. The proposed REIT regulations would be more relaxed and flexible than the current ones governing property funds (Type 1). For instance, the unit
Bangkok, February 15, 2012 ? The SEC has revoked approval for Maris Tarab and Burim Chombhubol as fund manager and prohibited them from re-entering the industry for 10 years, starting from February
securities trading account between April 1, 2016 – May 4, 2016 in such a way as to take advantage of other persons through the assistance of Mrs. Supritha Pai Kasturi, PTL’s Senior Manager - Finance &
Manager - Finance & Accounts who also knows the inside information. 16/05/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
Mrs. Supritha Pai Kasturi Mrs. Supritha Pai Kasturi, Senior Manager - Finance & Accounts of Polyplex (Thailand) Public Company Limited (“PTL”), knows the information on PTL’s performance in the
Mr. Eakarat Apiwattanaporn Between 19 February, 2016 to 4 March, 2016, Mr. Eakarat Apiwattanaporn who is the foreign fund manager of UOB Asset Management (Thailand) Co., Ltd. (“UOB”) bought UOB