10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a
and expectation without having supporting information or documents to back up his claim were in contravention of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended
Best Practices in Managing Climate-related Risk by Global Asset Managers are available on the SEC website via: https://www.sec.or.th/TH/Documents/CompanyHandbooksandGuidelines
) for falsifying the company?s documents and accounts in violation of Section 312 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The SEC?s finding indicated that Somchit proceeded or permitted
, and Kanchanok (or Natchaporn Likitsirisap or Rassarin Surapattanapaisan), a former vice president?project management, for collusively falsifying documents and accounts and defrauding DAIDO assets. In
documents introducing the company through email or facsimile. The documents consist of (1) investment information (2) calculation methods for returns and (3) relevant information on to mislead investors that
the mutual fund’s accounts and related documents certified by the management company, and arrange for the fund supervisor to deliver the mutual fund’s accounts and related documents to the liquidator
the mutual fund’s accounts and related documents certified by the management company, and arrange for the fund supervisor to deliver 2 the mutual fund’s accounts and related documents to the liquidator
/ Cheque / Cash - Receipt of money transfer [ ] 10. Other supporting documents (please specify) _________________________________________________ Please print this checklist and include it in the package of