baht and 500,000 baht, respectively. A fine of 333,333.33 baht was also imposed on Jantharapa for violation of Section 243 (1) in conjunction with Section 244 and Section 243(2) of the SEA and Section 86
investor contacts were in violation of Clause 14(2) of the SEC Notification No. SorKhor 49/2009 Re: Approval for Investor Contacts, which stated that investor contact shall let investors make their own
. TorThor/Nor/Khor. 37/2010 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. It was in violation of Clauses 23(1) and the prohibited characteristics of the personnel in the
management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to rectify, undertake or omit from any acts in order
where the facts appear to the Office that any management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to
to examine such implementation. Clause 5. In the case where the facts appear to the Office that any management company has acted in violation or non-compliance with the rules prescribed by this
any record of violation of the laws or regulations of Home Jurisdiction in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such
any record of violation of the laws or regulations of Home Economy in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such
_____________________________________________________________________ 3. I/We have not had any record of violation of the laws or regulations of Home Economy in matters relating to the disclosure of material information to investors or Home Regulator, and have not