that the management company shall comply with the commitment, the mutual fund scheme, the Securities and Exchange Act B.E. 2535 (1992) as well as the Notifications, Rules and Orders issued by virtue of
imposed on them and paid separate civil penalties at the total amount of more than 120 million baht. The six offenders are: (1) Mr. Sathit Roongwatanapak, (2) Mr. Chavin Roongwatanapak, (3) Ms. Tanyapa
securities company shall separate the work units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for
opportunity to access such insider information and the work units and personnel who have the opportunity to take advantage of such insider information. Clause 6 A securities company shall separate the work
Acquisition and Disposition of Assets, 2004 (as amended) (the "Acquisition or Disposal of Assets Notifications"). The transaction 3 size is 13.03 percent which is the maximum transaction size of the total value
regard, SEC has reviewed regulations on the operation of investment management business as prescribed in two notifications by applying the guidelines of the Regulatory Guillotine scheme to ensure
. 2535 (1992), and Section 9(2) of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The following notifications shall be
. 2535 (1992) , and Section 9(2) of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The following notifications shall be
: Million Baht) Consolidated Separate Y2017 + Increased /-Decreased Y2017 + Increased /-Decreased Brokerage fees income 592.30 (28.82) 592.30 (28.82) Fees and service income 38.75 (16.45) 38.75 (16.45