category of shares (Private Placement) without having obtained an approval from the SEC Office. SEC Act S.33 Settlement Committee Meeting No. 4/2019 Settlement Committee Order No. 17/2019 Dated 20/11/2019
Dimet (Siam) Public Company Limited. On 10 February, 2020, Dimet (Siam) Public Company Limited offer for sale newly issued securities in the category of shares (Private Placement) without having
and procedures for approval for mutual fund manager; “Private fund manager” means any private fund manager who obtains approval from the Office under the notification of the Securities and Exchange
) derivatives intermediary ; (6) life insurance companies; (7) non-life insurance companies; (8) mutual funds; (9) private funds; (10) provident funds; (11) Government Pension Fund; (12) Social Security Fund; (13
; (5) derivatives intermediary; (6) life insurance companies; (7) non-life insurance companies; (8) mutual funds; (9) private funds; (10) provident funds; (11) Government Pension Fund; (12) Social
companies; (5) derivatives intermediary ; (6) life insurance companies; (7) non-life insurance companies; (8) mutual funds; (9) private funds; (10) provident funds; (11) Government Pension Fund; (12) Social
intermediary; (6) life insurance companies; (7) non-life insurance companies; (8) mutual funds; (9) private funds; (10) provident funds; (11) Government Pension Fund; (12) Social Security Fund; (13) listed
as a listed-company director with responsibility, prudence, honesty and integrity. As a result, the Civil Penalty Consideration Committee ordered Mr. A to pay a civil fine and compensate the SEC for
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws