of Thailand (SEC). I, the leader and authorized director of ……………………………………….……... (name of the audit firm), hereby certify and consent as follows; 1. I certify that the audit firm has audit quality

other three (Mr. Thanaris Pornpattanajamsai, Miss Audcharapron Radchanajun, and Mr. Saksumit Samornpitakul) refused to give consent to the civil sanctions. Consequently, it is deemed that the three

and evidentiary documentation; - SEC official checks accuracy and completeness of the submitted documents; - If accurate and complete, the applicant pays the application fee and submits the payment

customers’ consent. Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using its best effort to protect its customers’ interest, take into account and

specified in the notification of the Office shall be subject to customers’ consent. (Translation) 5 Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using

subject to customers’ consent. (Translation) 5 Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using its best effort to protect its customers’ interest

In cases where the SEC Office considers that it is necessary and expedient, with the applicant’s consent, the competent officer shall be empowered to enter into the place of business or address of such

a statement of consent to the civil sanction and fully paid a civil penalty of 500,000 baht*. The other six offenders made an appointment to make a statement of consent to pay a separate civil penalty

investors to carefully and prudently study the information from the complete version of summarized significant features of securities (Fact Sheet) to clearly understand the product and appraise own risk

Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip