Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14, the conditions specified in Clause 15 are
company shall act in the interests of the fund and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14
application fee under this Notification shall be waived. Clause 16 In case of applying for derivatives business license type Sor-1 , the application fee under Clause 14(2) shall be waived if the applicant is
license, the application fee under this Notification shall be waived. Clause 16 In case of applying for derivatives business license type Sor-1, the application fee under Clause 14(2) shall be waived if the
will not accept his re-application for approval as capital market personnel until the lapse of ten year period commencing from November 14, 2014. Earlier, the SEC had imposed criminal sanction on Nakul?s
Estate Investment Trust (No. 3) dated 20 August 2014 (effective on 1 September 2014). 4 Clause 6 An application for an offer for sale of newly issued units shall be submitted to the SEC Office in
control and proper operation of the business. Division 3 Compulsory Conditions Clause 14 An intermediary shall notify the details on the scope of function outsourced to a service provider under Clause 10 to