. Clause 23 A mutual fund management company shall not commit by itself, connive at, or agree with another person to commit any act which causes a unitholder to obtain benefits as if a redemption payment was
products which are not listed on the https://publish.sec.or.th/nrs/6611pe.doc 6611pe_r.pdf only at the intermediary’s temporary office; (b) require clients to send trading orders by themselves through an
send an email to sawarin@sec.or.th. For paper comments, please send them to: The Intermediaries Policy Department, the Securities and https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8149 SEC
through his client's account without evidence of client's orders. The SEC found out from the recorded conversation between {A} and the client, which showed that the client had entrusted {A} to send trading
results Sort by: Relevance Date (Newest) Date (Oldest) QAQR-06.xlsx institution, insurance, construction, digital assets ) obtain/maintain the required specialist knowledge? Does the firm have special
addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an
dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 17/04
The auditor expressed a disclaimer of conclusion on CHARAN’s interim financial statements for the first quarter of 2025 because the auditor was unable to obtain sufficient audit evidence to review
impairment of assets. In addition, the auditor was unable to use other means to obtain sufficient appropriate audit evidence on the matters. The SEC therefore instructed STHAI to rectify 2012 financial