Exchange Act B.E. 2535 (1992) (SEA). The findings previously led to the sanctions imposed on ING Funds, Maris and Burim. In this connection, the SEC further probed into the case and found that from January 5
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
probed into the case and found that during March 18 ? October 9, 2008, Sornnon, Naraporn, Nacharat and Thanatdej (or Jiraphoj) together with other 10 persons (one person died) colluded or agreed to trade
received but in any case no less than 500,000 baht, or both.Paweena, Punnaporn, Warunya and Trairath refused to enter the criminal fining process. The SEC therefore filed a criminal complaint with the DSI
inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the
instance, fund management may be outsourced up to 20% of AUM of each asset management company and must be clearly disclose in the prospectus. In case of private fund management, consent of the client is
price of Nation International Edutainment Public Company Limited ("NINE"). 11/06/2021 filed a lawsuit to a civil court26/03/2018 referred the case to a state attorney for filing a
International Edutainment Public Company Limited ("NINE"). 11/06/2021 filed a lawsuit to a civil court26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court
partner or a shareholder, except: (a) being an advisor or a director of a securities company who has no power of management in the securities company; (b) in the case where the exemption has been granted by