Bangkok, February 15, 2013 ? The SEC filed a criminal complaint against Sopana Janeborvorn, a former mutual fund manager who was then responsible for the operations of Kasikorn Asset Management Co
such periods of time, there were high demands for FVC stocks and subsequently entering into the trading of such stocks as well. The actions of the 13 persons above were liable to be an offense under
information from SET, which acts as the first-line inspector to detect suspicious trading activities. AMLO then takes over the investigation of financial transactions to facilitate asset-related legal actions
client in an unprofessional manner.The actions of {C}, {D}, {F}, and {G} were deemed performing duties beyond the scope of employment, taking advantage of client by virtue of duties, and using client
2,106,167.05 baht, thereby causing losses to the clients. The misconduct involved the following actions: (1) selling investment units belonging to Client 1 without the client’s instruction and withdrawing the
analysis report of the financial positions and result of business operations differences more than 20% compare to the previous year. To : Board of Governors and the President of The Stock Exchange of
derivatives clearing house. For the purposes of Paragraph 1, derivatives clearing houses shall take at least the following actions: (1) clearly determine roles and responsibilities of the board of directors and
empower the derivatives exchange to take the actions on derivatives trading executed by members for themselves or for their clients: (a) suspend derivatives trading unless such trading is for closing out
the employee. Moreover, the Group could control costs and expenses more effectively. Conclusions: The Group reported operations for the six-month period ended 30 June 2017 represented had a loss of Baht
license and relating assets of Baht 567.40 million. Conclusions: The Group reported operations for the year ended 31 December 2018 represented an operating loss of Baht 98.79 million. Compared to the same