considerably higher trading commissions from frequent submission of orders and high volumes during the marketing campaign launched by Country Group Securities. For {C}, she was assigned to take care of this
investment consultant, assigned {B} to take care of the clients as well as make investment analysis and give investment advice. {A}'s action was deemed as breach of duty and failure to exercise due care, while
; (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
-9320 3. Details of Related Parties 3.1 Mr. Kongsak Hemmontharop is Vice Board Chairman of Panjawattana Plastic Public Company Limited, and major shareholder, representing 18.49 percent of authorized and
Exchange Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities
Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities, whether
Thailand. 3. Details of Related Parties 3.1 Mr. Kongsak Hemmontharop is Vice Board Chairman of Panjawattana Plastic Public Company Limited, and major shareholder, representing 15.37 percent of authorized and
major shareholder, representing 6.22 percent of authorized and paid-up share capital as at 3 January 2019 3.2 Mr. Pirun Hemmontharop is Director jointly sign with the company seal affixed of PJ Composites
(Notification of Securities and Exchange Commission) (Synopsis) 23/01/2007 16/03/2007 10. Report/Form (Notification of Securities and Exchange Commission) Form EF-3 Appointment of Authorized Officer 11
complaint, the SEC found that {B} had been authorized to make securities trading decisions on behalf of the client from the account opening. {B} admitted that she made trading decisions on behalf of the