investment consultant to take the said action. This led to an incomplete client analysis and inappropriate investment inconsistent with the client's demand and acceptable risk level. The SEC has suspended {E
submitted as a single order causing the price and trading volume of UNIQ shares to be inconsistent with normal market conditions. The UNIQ closing price increased over 3.8 times and average daily trading
…………………………….… Seal (If any) Remarks : 1. The applicant may duplicate this application and fill in the content instead of using this form. 2. Signatures required in the genuine application form and documentary
…………………………….… Seal (If any) Remarks: 1. The applicant may duplicate this application and fill in the content instead of using this form. 2. Signatures required in the genuine application form and documentary evidences
inconsistent with Section 129 of the Securities and Exchange Act B.E. 2535 (1992); 4 (2) provision related to the rules and procedures for requesting the unitholders’ resolution and the effectiveness of such
and APEC Asia Region Funds Passport shall take effect, mutatis mutandis, to the extent that they are not inconsistent with or contrary to the provisions prescribed herein. Chapter 2 Application for
related persons. The offenders (1) to (12) colluded to send trading orders of THE shares continuously in a manner that misled other people, causing the prices or trading volumes to be inconsistent with
effective date of this Notification contains any details which are inconsistent with or contrary to the provisions of this Notification, the management company shall apply for the Office’s approval for
pool of assets which was registered as a mutual fund with the Office prior to the effective date of this Notification contains any details which are inconsistent with or contrary to the provisions of