Trust Information technology Approved Personnel and  -------------------------- Sub-topic ------------------------- Securities Issuance Takeover Approval Mutual Fund Private Fund Provident Fund Venture

securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior

. Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 39/2553 Re: Approval of Auditors in the Capital Market _________________________ Whereas Section 61, Section 89, Section 106

consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients

Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective

Trust Information technology Approved Personnel and  -------------------------- Sub-topic ------------------------- Securities Issuance Takeover Approval Mutual Fund Private Fund Provident Fund Venture

Trust Information technology Approved Personnel and  -------------------------- Sub-topic ------------------------- Securities Issuance Takeover Approval Mutual Fund Private Fund Provident Fund Venture

Trust Information technology Approved Personnel and  -------------------------- Sub-topic ------------------------- Securities Issuance Takeover Approval Mutual Fund Private Fund Provident Fund Venture

Trust Information technology Approved Personnel and  -------------------------- Sub-topic ------------------------- Securities Issuance Takeover Approval Mutual Fund Private Fund Provident Fund Venture

Trust Information technology Approved Personnel and  -------------------------- Sub-topic ------------------------- Securities Issuance Takeover Approval Mutual Fund Private Fund Provident Fund Venture