aiders namely Mr. Chanchai Piulueangsawat and Mrs. Onpimon Piulueangsawat, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC?s findings from the examination of the
{C}, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC's findings from the examination of the initial public offerings (IPO) of Takuni Group Public Company
lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A} traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus
descending order by the probability of occurrence of the risks and significance of their effects; (9) information about administration and management of the mutual fund; (10) warnings about the mutual fund; 1
: Website: Contact person: Email: CIS operator is under the supervision of: Name of local representative: Contact person: Email: Name of local intermediary: Contact person: Email: Warnings: An investor
authorities of each level of employees related to the register of securities; (b) management and storage of the register of securities and related securities certificates; (c) examination of the internal system
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases
investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation
warnings and recommendation for investment in investment units section that the investors can examine the guidelines for the exercise of voting rights as well as the implementation of the exercise of voting