any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and
related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. KorThor. 43/2543 Re: Rules, Conditions and Procedures for Dealing of Debt
to transfer the money received from the mutual fund units redeemed to her own account for personal use; 2. Transferring additional deposit from the client’s account to her own account on
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned
business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Phisit as an investment consultant for complex products Type
manager, (7) Darunee Phu-ngoen, personal assistant to Suthisak, and (8) Paphawin Pinwatthana, personal secretary to Suthisak, for falsifying documents and accounts and/or siphoning.The SEC probed into the
) wish to be approved as a foreign auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 dated 9 April 2015 Re: Approval of
(Unofficial Translation) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Securities and
collateral placement for a client's KTB securities trading account. Panadda was responsible for the said trading account and she also had a personal relationship with the client who was the account owner. She