Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
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รับหลักทรัพยของ ตลท. จะกําหนดในลักษณะที่สอดคลองกับหลักการของสํานักงาน โดยใหเปนไปตามหลักเกณฑของ home exchange เปนหลัก อยางไรก็ตาม ในระยะแรก ตลท. จะรับ foreign issuer เพื่อเขาซื้อขายในตลาด SET เท
concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed http://market.sec.or.th/public/idisc/en
Vanatsavadee failed to perform duties or give services honestly. In addition, there was a reason to believe that she had failed to perform duties or provide services properly* and concealed wrongful acts while
Securities and Exchange Act. On 16 October 2017, the SEC filed a criminal complaint against the GL management with the Department of Special Investigation (DSI) on account of concealed transactions
found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and
misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed
with the law. However, Mr. Dusadee failed to order or act as required by his responsibilities, and is therefore liable for ALL’s disclosed incorrect information and made false statements or concealed