unable to contact or identify PVD members. Therefore, in order to accommodate AMCs in making payment out of the fund to PVD members in accordance with the aforementioned law and in managing unclaimed

Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order

market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from

investigation officer in his or her capacity, as the direct victims, in order to protect the interest of them and the company. Apart from the above, the Civil Penalty Committee resolved to impose a civil

entitled to seek the court's order to revoke the resolution found to be in contravention of the law or governing regulations;(3) Enhancing supervision over the SET in line with international standards

related parties in the capital market in order to create understanding and cooperation in the use of good governance principles for sustainable development.In this seminar, SEC was honored by Dr. Prasarn

Company Limited No. 3/2017 held on March 16, 2017 passed the resolution to approve a financial support transaction to be provided to its major shareholder, GSTEL who at that time held shares both direct and

Holdings Limited (“SGAH”), which is at present an associate of the Company, at the amount of USD 65 million, or equivalent to approximately Baht 2,138 million, in order to support and strengthen the

of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply

of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply effectively with