liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to
. Notification of the Securities and Exchange Commission KorChor. 9/2555 Determination of Definitions of Institutional and High Net Worth Investors 09/07/2012 01/08/2012 3. Notification of the Securities and
pursuant to the Notification of the Capital Market Supervisory Board No.Tor.Jor.20/2551 Re: Rules On Entering into Material Transaction Deemed as Acquisition or Disposal of Assets and the Notification of the
of transaction This transaction was not considered as a material transaction of disposal of Asset according to the Notification of the Capital Market Supervisory Board No.Tor.Chor 20/2551 Re : Rules on
any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. Notification of the Capital Market Supervisory Board No. TorDor. 95/2552 Re: Rules
Material Transactions Deemed as Acquisition or Disposal of Assets (as amended), and does not fall within the disclosure requirement under the Notification of the Board of Governors of the Stock Exchange of
Capital Market Supervisory Board No. Tor Jor. 20/2551 Re: Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets and the Notification of the Board of Governors of the Stock
Material Transaction deemed as Acquisition or Disposition of Assets and the Notification of the Board of Governors of the Stock Exchange of Thailand regarding the Disclosure of Information and Other Acts of
to disclose the material information on the investment policy before offering it to the client. For a pooled fund, AMC is additionally required to disclose the PVD factsheet to the fund members and