was in charge of the company?s operation and asset management. Previously on May 27, 2010, the SEC filed a complaint against Wichai for misappropriating the company assets worth approximately 179.6
(DSI) on account of misappropriating approximately 57.7 million baht of the company assets and falsifying documents and recording false accounting information during 2009-2010 while he was in charge of
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
firm to perform duty as local intermediary in Thailand ( issued by Qualifying CIS Operator ) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the Qualifying CIS
of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the
securities trading account. This constitutes an offense of purchasing securities as a person who knows or possesses inside information under Section 242(1), in conjunction with Section 244(2) and (5), and is
Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities
Offer for Sale of All Types of Debt Securities, and in cases where the sukuk issuer is a juristic person separate from the originator, the term “debt securities issuer” under such Notification shall
person to be the manager of the fund and the assets generated from the fund; (3) having an investment policy whereby investment in a business is made through entering into an agreement for investment in
operation or any other proceeding in a manner that reflects the role in the operation of such business. “venture capital” means a juristic person established under Thai or foreign law with the objective of