Asset Management Co., Ltd.), has committed an offense with dishonest intent and obtained unlawful gains for himself or another person by authorizing a mutual fund of Solaris Asset Management Co., Ltd. to
Consultant, Private Fund Management Department.With reference to the investigation findings, the afore-mentioned offenders had planned and divided responsibilities for this purpose since the beginning of the
IT-related risks arising from the use of technology; (5) To Improve other details of the rules to better communicate the intent of the oversight and enable effective risk control
ideal candidates should also have other useful experiences for performing the Secretary-General role in alignment with legal intent, vision, mission, and objectives of the SEC to promote, develop and
change include: - Lifting the requirement for pre-declaration of intent by RMF / LTF unitholders regarding obligatory transfer in case of fund dissolution; - Allowing asset management companies to use
placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. 12/01
subsidiary of KC, namely (1) Mr. Kittisan Mookdee, (2) Mr. Teerasit Sangngern and (3) Mr. Sunchai Intarauksorn jointly failed to perform their duties with dishonest intent, committed dishonest converting KC’s
a subsidiary of KC, namely (1) Mr. Kittisan Mookdee, (2) Mr. Teerasit Sangngern and (3) Mr. Sunchai Intarauksorn jointly failed to perform their duties with dishonest intent, committed dishonest