securities business in the category of securities brokerage, securities dealing or securities underwriting, and (2) a person licensed to undertake the derivatives business in the category of derivatives agent
investor contact of Asia Plus Securities Plc., is suspended for six months after findings indicated that he had traded securities in a client's account for another person for more than a year by taking
), since ………………(date)………….………, to ……….…(name of the current audit firm), since………..………(date)……….…………. In this regard, I have attached herewith the following supplementary documents: 1. Certification of
: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person
take the highest responsibility in Accounting and Finance, the person assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and
unit trust. In this regard, either investment company or unit trust shall have objective to invest in securities or financial instruments. “CIS operator” means any person responsible for managerment of
investor contact should not support, instruct or cooperate with any person to act in violation of law on securities and exchange and regulations. The SEC, therefore, suspends {A} from performing duties as
a subsidiary company, which registered as a juristic person in Thailand under the Civil and Commercial Code on August 29, 2017. The subsidiary operates in real estate development and asset management