the offenders sign a letter of consent, agreeing to comply with the civil sanctions. In the event that any offenders refuse to give consent to the sanctions, the SEC will submit the cases in writing to
as director or executive for 18 months. The civil sanctions, as imposed by the CSC, will take effect when the offenders sign the letters of consent, agreeing to comply with the civil sanctions. In the
on the letter of consent which specifies civil sanctions to comply with the civil sanctions determined by the Civil Sanction Committee. If any of them declines to give consent for the civil
management of One for his own benefit with the client’s consent; (2) he personally signed client’s redemption order form for mutual funds; and (3) he changed client’s contact address to the address of One
power to make decisions on the company’s operation on behalf of the board of directors; “Register of Persons Qualified to be Fund Manager” means the register of persons who are approved by the Office of
directors as an executive director or authorised with power to make decisions on the company’s operation on behalf of the board of directors; “Register of Persons Qualified to be Fund Manager” means the
the company has used the part of expenditures is not over 1 million baht for calculating of consent. Signature…………........……………………….Authorized director (Mr.Surin Tohtubtiang) Position Chief Executive
Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent