committed upon the dishonest misappropriation of the fund for personal gains. The actions committed by Mr. Chiyachantana and Ms. Hongsri were liable to be the offenses under Section 308, Section 311
client due diligence ? e.g., clients? investment objectives, personal conditions and risk tolerance ? before giving advice, attached with supporting reasons, on suitable funds for their investment. In
violation of Clause 6(1) of the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Personnel dated September 14, 2010. Two-year
than 3-year period, and under no general commercial conditions. The Company will rent a personal residence (including both the house and the land) located at Cape Amarin, Kamala, Phuket (“Premises”) for
https://publish.sec.or.th/nrs/8841pe.doc 5883pe.doc this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual
, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange Commission No. KorNor
(Unofficial Translation) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Notification of the Securities and
(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
? money intended for payments of investment unit purchases for personal gains.In so doing, they did not execute their clients' purchase transactions via the bank system, counterfeited fund passbooks and
Privacy Policy Personal Data Protection Policy for Trading in Secondary Market The Office of the Securities and Exchange Commission (SEC Office) 0. Scope of this Policy This Personal Data